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. Kathryn also handles Foreign Corrupt Practices Act internal investigations, and is responsible for performing anti-corruption, anti-money laundering and sanctions due diligence and risk analyses.
In 2019, Kathryn was one of five women nationally shortlisted for a Chambers Diversity and Inclusion award in the Future Leader – Gender Diversity category. Kathryn plays an active role in Ropes & Gray’s Women’s Forum and mentoring programs.
During law school, Kathryn served as the Outreach Chair on the board of the Columbia Law Women’s Association and as an editor on the Columbia Journal of Gender and Law.
Experience
- Served as pool counsel for employees of a multinational financial institution related to an SEC investigation into the use of personal devices for business purposes.
- 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.
- Represented Deutsche Bank in Chancery Court litigation stemming from the acquisition of PLX Technology by Avago Technologies. Deutsche Bank was alleged to have aided and abetted breaches of fiduciary duty by the PLX Board in connection with the sale.
- Represented multinational financial services firm in responding to regulatory inquiries and exams, with a focus on futures and swaps trading.
- Represented individuals in CFTC and state investigations into futures and derivatives trading practices, including alleged market manipulation, spoofing, and front running.
- 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
- Assisting Criminal Justice Act appointed counsel in pro bono representation of criminal defendant charged with conspiracy.
- Represents an individual plaintiff in a civil action filed under federal anti-trafficking statutes.
- Represents an unaccompanied minor in immigration removal proceedings.
- Secured favorable results for three pro bono clients seeking to overturn denials of applications for security guard licenses.