KATIE KLABEN advises financial services firms – particularly hedge funds, investment advisers and broker-dealers – on a wide range of regulatory, compliance, enforcement and transactional matters. Katie works extensively with advisers to hedge funds concerning their compliance with the ownership reporting requirements and related liability under Sections 13 and 16 of the Exchange Act. She also assists clients with responding to regulatory requests, inquiries and investigations concerning alleged violations of various federal securities laws, rules and regulations as well as FINRA and individual exchange rules.
Katie graduated summa cum laude from the American University Washington College of Law, where she served as a fellow for both the Legal Rhetoric Program and the Marshall-Brennan Constitutional Literacy Project. She earned her B.S. in Business Administration, with a focus on finance and international business, from the Georgetown University McDonough School of Business.
Prior to joining the firm, Katie spent a summer working in the Office of Compliance Inspections and Examinations in the U.S. Securities and Exchange Commission. She also spent three years at SNL Financial, where she managed the Specialized Financial Services division.