Katherine M. Sullivan represents both large and small financial institutions, advising them on a variety of regulatory compliance matters, including regulatory examinations and inquiries as well as enforcement proceedings. She regularly advises broker-dealer clients on issues arising under the rules of the SEC, FINRA and other regulatory and self-regulatory organizations.


  • New York City Bar Association Criminal Law Committee
  • UJA Criminal Law Executive Council
  • Federal Bar Council

Prior Experience

  • Judicial Intern, The United States District Court for the Southern District of New Jersey
  • Judicial Intern, The New York Appellate Division, Second Judicial Department