Benjamin Catalano

Benjamin J. Catalano has been a leading securities regulation and enforcement attorney and industry professional for more than 35 years.  

Until he retired in 2025, Mr. Catalano was a Partner and Head of the Broker-Dealer and Investment Management Regulation Practice and the Broker-Dealer Regulation Practice at the international law firm of Proskauer Rose LLP for 20 years.  There he advised some of the largest global financial institutions, including J.P. Morgan Chase & Co., Goldman Sachs & Co., BNY Mellon, Instinet, Apollo Investment Management, Ares Capital Corporation, Bain Capital, Neuberger Berman, Allied Irish Banks, BNP Paribas, CITIC Securities Limited, Nomura Securities International, Société Générale, Westpac, The Depository Trust Company, National Securities Clearing Corporation, Tokyo Stock Exchange, Toronto Stock Exchange and Montreal Stock Exchange, on federal and state and securities laws, Securities and Exchange Commission (SEC) and self-regulatory organization (SRO) rules and regulations.  

Mr. Catalano began his career as a compliance officer at two major investment banks, Drexel Burnham Lambert, Inc. and PaineWebber Incorporated (later UBS Securities LLC) where he was Vice President and Head of Compliance for the Capital Markets Division.  

He has written extensively on subjects including SEC registration and SRO membership, trading and sales practices, research, investment banking, supervisory responsibility, and cross-border regulation.  His articles have appeared in The Business Lawyer, The Metropolitan Corporate Counsel, The National Law Review, Law360 and other publications.

In addition to teaching at Cornell Law School, Mr. Catalano lecturers on broker-dealer, investment adviser and exchange regulation at the University of Pennsylvania Carey Law School and Fordham University School of Law.