Katten > New York, United States > Firm Profile

Katten > The Legal 500 Rankings

Finance > Structured finance: derivatives and structured products Tier 2

Katten has demonstrable experience advising on regulatory mandates, encompassing enforcement proceedings, CFTC investigations and litigation cases, associated with over-the-counter and exchange-traded derivatives products. Counting US and international investment banks, hedge funds and proprietary trading firms among its key roster of clients, the team has the capability to advise on futures, over-the-counter and structured products transactions. In the Chicago office, Lance Zinman is the global chair of the firm’s financial markets and funds department and Christian Kemnitz leads the financial markets litigation and enforcement group, while Washington DC-based Daniel Davis and New York’s Carl Kennedy co-chair the financial markets and regulation practice. Kennedy handles regulatory matters concerning the Dodd-Frank Act and New York-based Gary DeWaal is noted for his experience advising on exchange-traded derivatives and crypto-assets, while Chicago’s senior counsel Kevin Foley handles compliance issues associated with the CEA and the CFTC. In the firm’s New York office, Stephen Morris joined from Morgan Stanley in April 2022, and Ilene Froom arrived from Reed Smith LLP in July 2022.

Finance > Structured finance: securitization Tier 2

‘With deep experience across a myriad of asset classes and structures’, Katten’s workload includes consumer and commercial finance mandates, in addition to esoteric and one-off transactions, including electric vehicle lease securitizations, capital market-based carbon offset credits and agricultural receivables. Housing a ‘deep bench of experienced partners and diligent associates’, the team is well-placed to advise on the regulatory and tax aspects of structured finance transactions. In the firm’s New York office, Chris DiAngelo acts as principal counsel to the Structured Finance Association (SFA) and is noted for his expertise in ABS and residential mortgage-backed securities. Washington DC’s Anna-Liza Harris, who focuses on the tax aspects of asset- and mortgage-backed securitizations, jointly leads the team alongside New York-based Howard Schickler, whose practice covers a range of asset classes, including esoteric assets. The New York office is also home to John Keiserman, who handles transactions involving motor vehicle collateral, while Washington DC-based Seth Messner is praised as ‘knowledgeable, practical and commercial’.

Transport > Aviation and air travel: finance Tier 2

With a ‘thorough and expert handling of complex matters‘, Katten‘s aviation practice acts in a broad range of commercial aircraft business deals, administrative and regulatory matters, and commercial and bankruptcy litigation. The group is well known for its representation of manufacturers, such as Brazilian aerospace multinational Embraer, as well as for its advice to major leasing companies. It is additionally noted for its development of innovative structures involving enhanced equipment trust certificates, pooled aircraft securitizations, asset preservation, and credit enhancement work. Washington DC-based aviation practice chair Timothy Lynes has longstanding experience in representing manufacturers, airlines, lessors, financial institutions, equity investors and insurers in the sale, leasing and financing of aircraft. In New York, Stewart Herman focuses on the leasing, sale and financing of commercial aircraft, while Timothy Kirby is a corporate and securities deal specialist. Also in Washington DC, associate Brett Seifarth is on hand for complex aviation finance work.

Dispute resolution > Securities litigation: defense Tier 3

Katten has a strong and long-established reputation across the US for its defense work in litigation cases and regulatory matters requiring, including matters that involve novel points of law. Bruce Vanyo, who works from both Los Angeles and New York, leads a practice that handles securities class actions, stockholder derivatives cases, M&A litigation, proxy disclosure suits and SEC investigations and enforcement actions. Vanyo has been involved in cases arising from SPAC transactions, among them the defense of orbital space launch vehicle company Astra Space in a 10b5 case concerning allegations that the company made misleading statements in its public disclosures and SEC filings concerning its addressable market and plans for diversification. Michael Diver, a former Enforcement Branch Chief of the SEC’s Chicago office, and Michael Lohnes – both based in Chicago – are acting for Inotiv, Inc. in a class acting claiming that it made false and misleading statements issued in press releases and SEC filings regarding the acquisition of Envigo, a business that provides research-quality animals for use in laboratory tests, and potential risks associated with Envigo’s animal-housing facilities. Christina Costley is a standout practitioner in LA. Richard Zelichov  has left the firm.

Intellectual property > Copyright Tier 3

Investment fund formation and management > Alternative/hedge funds Tier 3

The ‘deep bench of experts‘ at Katten combines specialist knowledge in quantitative and algorithmic asset management, along with cryptocurrencies, digital assets and insurance funds, with a strong grounding in hedge fund representation. Clients recommend the practice ‘for all things fund related, from formation, to regulatory law, to capital raising‘ and the team is regularly involved in cross-border matters. A trio of lawyers lead the department: Lance Zinman represents some of the industry’s largest quantitative funds and asset managers trading across a broad category of asset classes; Wendy Cohen, ‘a great lawyer when it comes to alternative investment advisers‘; and Allison Yacker, counsel on the spectrum of issues relating to hedge funds, commodity pools and managed account platforms. Henry Bregstein comes with client recommendation, and Stephen Morris was a new addition to the team from an in-house role in April 2022.

M&A/corporate and commercial > M&A: middle-market (sub-$500m) Tier 3

Working across a number of national offices, Katten regularly handles a strong mix of mid-market deals for clients from the healthcare, life sciences, financial services, manufacturing, and TMT sectors. The team is best known for its experience in the private equity space, where it advises clients on novel leveraged buyouts, add-on acquisitions and divestitures. Operating out of the Chicago office, Kimberly Smith has considerable experience acting for private equity firms and investors, while Christopher Atkinson is particularly well placed to assist in M&A matters in the technology industry involving start-ups and open-source technologies. They jointly head up the department with corporate partner Mark Solomon and David Washburn, who excels in complex buy and sell-side deals on behalf of public and private companies; both attorneys are based in Dallas. Splitting his time between Chicago and New York, Mark Grossmann is noted for his private equity and M&A capabilities.

Dispute resolution > Financial services litigation Tier 4

Katten is regularly engaged by clients including banks, credit unions and consumer lenders to advise on consumer finance class actions as well as being active in defending regulatory proceedings. The practice is led by Gregory Korman, who focuses on banking and credit union clients in class actions relating to financial products such as credit cards and mortgages. Stuart Richter is another key contact in consumer finance related litigation including class actions and regulatory enforcement proceedings. Both Richter and Korman are based in the Los Angeles office, along with Tami Kameda Sims, who also has experience representing banks and credit unions in class actions, breach of contract cases, and regulatory actions.

Finance > Commercial lending Tier 4

Katten places a strong emphasis on private credit issues, acting for lead arrangers, administrative agents, unsecured creditors, banks and investments firms in matters relating to senior secured and unsecured as well as asset-based loans, unitranche and mezzanine debt, and distressed and bridge loans. The team, which is primarily based in Chicago, is headed by Michael Jacobson, a member of the firm’s executive committee considered a specialist in cash flow and asset-based transactions as well the full spectrum of commercial financing. Also noted, Jennifer Wolfe is recommended for debt finance matters, while Glen Lim and Jan Harris Cate, who are part of the firm’s Los Angeles offering, regularly act on a range of financing transactions.

Finance > Restructuring (including bankruptcy): corporate Tier 4

Steven Reisman in New York and Peter Siddiqui in Chicago jointly chair Katten’s insolvency and restructuring practice, which specializes in representing independent directors in Chapter 11 bankruptcies and out-of-court restructurings. Reisman has broad experience representing debtors, DIP lenders, equity sponsors, creditors’ committees, indenture trustees, and distressed investors. Siddiqui often advises banks, hedge funds, and private equity investors, as well as debtors-in-possession in Chapter 11 cases. The practice recently represented GWG Holdings, Inc. at the direction of the independent directors in connection with the company’s Chapter 11 case. Cindi Giglio and Marc Roitman in New York are also key names in the team. Geoffrey King departed for King & Spalding LLP in February 2023.

Healthcare > Service providers Tier 4

The team at Katten is adept at handling a variety of mandates, including Medicare and Medicaid reimbursement issues, and reorganizations of healthcare companies. Based in Dallas, healthcare practice chair Lisa Atlas Genecov is particularly adept at advising home healthcare companies and health systems on transaction structures, compliance, and strategic opportunities within the Affordable Care Act. Chicago-based Kenneth Davis has considerable experience advising radiology groups on Stark Law related issues, joint ventures, and business model development. In New York, Joseph Willey often acts in Medicaid FCA cases, settlements, and investigations, in addition to federal anti-kickback compliance.

Industry focus > Sport Tier 4

Based primarily in Chicago, Katten fields a team which is well equipped to deal with a range of corporate and financing issues within the sports industry such as the purchase and sale of sports franchises, debt and equity financings, and television and radio broadcast agreements. This is typified by practice head Adam Klein in Chicago, who has a strong track record assisting professional sports teams, sports leagues, sports venues and their investors. Daniel Render in Century City is particularly knowledgeable in the sports industry, and his work often overlaps with the media and entertainment industry.

Intellectual property > Trademarks: litigation Tier 4

Media, technology and telecoms > Media and entertainment: litigation Tier 4

The Los Angeles-based team at Katten balances risk assessment aimed at avoiding litigation with a broad contentious practice that encompasses contracts, IP and business disputes for high-profile clients from the music and visual entertainment industry. Practice head Zia Modabber focuses his practice on music industry disputes; he recently represented the estate of Michael Jackson in a matter of first impression matter concerning a posthumous Michael Jackson album. Seasoned litigator David Halberstadter  specializes in intellectual property defense, in a recent highlight he represented Viacom CBS in a copyright infringement case concerning the alleged misuse of a pilot script. Fellow IP expert Joel Weiner also specializes in anti-SLAPP motions. Further recommended is Tami Kameda Sims who provided key support when the aforementioned Michael Jackson matter was argued in front of the California Supreme Court.

Media, technology and telecoms > Media and entertainment: transactional Tier 4

Katten represents leading creators, film studios and television networks on both the domestic and international stage. Development, production and licensing arrangements are key areas of focus team. Practice head Michael Hobel handles an array of matters related to content creation and distribution for clients such as Debmar-Mercury and HBO. Melanie Tomanov specializes at negotiating deals for high-profile clients from the film and music industry, while Scott Cutrow provides key support to Hobel, including on talent agreements for the streaming platform Hulu. All named lawyers are based in Los Angeles.

Real estate Tier 4

Katten displays activity in Chicago and Charlotte, North Carolina, as well as in Washington DC and New York markets, particularly in acquisition, disposition, development, leasing and restructuring of all types of real estate. Alvin Katz , Mark Simon and David Dlugie are well-respected lawyers in Chicago. In Charlotte, head of lending, Frank Arado and Kenneth Lore in Washington DC, are also among its key lawyers.

Dispute resolution > Corporate investigations and white-collar criminal defense Tier 5

Dispute resolution > General commercial disputes Tier 5

Often working in conjunction with the firm’s financial services departments on litigation and transactional matters, Katten regularly works with public and private companies across a spectrum of industries and is led by David Crichlow, who frequently acts as lead trial counsel on bankruptcy, class action and commercial litigation. Anthony Paccione has assisted domestic and foreign banks, Fortune 500 companies and hedge funds in commercial and securities litigation. Chicago's Peter Wilson advises financial services firms and public companies in criminal investigations and regulatory inquiries. Sarah Weber splits her time between Chicago and New York and served as a litigator for financial services clients, and has also represented clients in internal investigations, regulatory and enforcement proceedings, and white-collar criminal matters. Geoffrey Young joined the team from Reed Smith LLP in March 2022. All mentioned individuals are located in New York, unless stated otherwise.

M&A/corporate and commercial > Venture capital and emerging companies Tier 5

Katten has a longstanding track record of representing investors, growth companies and entrepreneurs. The fund space remains a core area for the team, with regular work coming from a diverse mix of hedge funds, corporate venture funds and family offices. Porsche Investments is a major client and the firm recently represented it on several investments into the automotive space, including a $100 million investment into Group 14 Technologies, which develops materials for lithium-silicon batteries. Chicago-based partners Matthew Brown and Jeffrey Patt co-head the entrepreneurial ventures practice, which also fields strong teams in New York, Los Angeles and Dallas.

Tax > US taxes: non-contentious Tier 6

Under the leadership of transactional tax chair Saul Rudo, Katten is well-placed to handle the tax aspects of M&A, private equity and venture capital transactions, management compensation arrangements, and fund formations. Rudo is further experienced in the establishment and operation of family offices. Federal income tax expert Valentina Famparska often works in close collaboration with the firm’s healthcare, sports, financial services, and trusts and estates groups on various tax matters. All named individuals are based in Chicago.

Media, technology and telecoms > Advertising and marketing: litigation