Kathryn M. Roulett
Kathryn Roulett is an associate in the litigation department in New York. Kathryn focuses her practice on government and internal investigations, complex commercial litigations, and regulatory matters, with a focus on securities, futures and derivative financial products. Since joining Ropes & Gray, Kathryn has represented clients in investigations and inquiries by DOJ, SEC, CFTC, FINRA, CME, ICE, and NFA.
Prior to joining the firm, Kathryn represented an incarcerated mother in custody proceedings in the Bronx Family Court as part of Columbia Law School’s Prisoners and Families Clinic. Kathryn also served as the Outreach Chair on the board of the Columbia Law Women’s Association. Additionally, Kathryn served as an editor on the Columbia Journal of Gender and Law.
- Represents multinational financial services firm in responding to regulatory inquiries and exams, with a focus on futures and swaps trading.
- Represents individuals in CFTC and state investigations into futures and derivatives trading practices, including alleged market manipulation, spoofing, and front running.
- Conducts pre-acquisition due diligence for large private equity firms and other clients focused on historical litigation, as well as anti-corruption, anti-money laundering, and sanctions risk.
- Conducts international anti-corruption, anti-money laundering, and sanctions risk monitoring of various client portfolio companies.
- Assisted with the representation of clients -- including individuals and multinational pharmaceutical companies -- in connection with DOJ insider trading investigations.
- Represented individuals from a multinational financial services firm in an anti-corruption investigation by the DOJ.
Pro Bono Practice
- Assisted Criminal Justice Act appointed counsel in pro bono representation of criminal defendant charged with conspiracy.
- Secured favorable results for three pro bono clients seeking to overturn denials of applications for security guard licenses.
- Co-author, “Year in Review: Recent Developments in CFTC Enforcement,” Bloomberg BNA Securities Regulation & Law Report (January 2018)
- Co-author, “Recent Developments in CFTC Enforcement,” Bloomberg BNA Securities Regulation & Law Report (November 2016)