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Benjamin J. Catalano is a leading attorney in securities industry regulation enforcement with over 35 years of professional experience. He is set to retire in 2025. Currently, he is a Partner and Head of the Broker-Dealer Investment Management Regulation Practice at Proskauer Rose LLP, where he has spent 20 years advising some of the largest global financial institutions including J.P. Morgan Chase & Co., Goldman Sachs & Co., and BNY Mellon Corp. He has also worked with various international law firms and securities regulators on issues related to federal and state securities laws, as well as self-regulatory organization (SRO) rules and regulations. Mr. Catalano started his career as a compliance officer at major investment banks like Drexel Burnham Lambert, Inc. and Pru, where he rose to Vice President and Head of Compliance in the Capital Markets Division. He has authored numerous articles on topics such as SEC registration, trading practices, and cross-border regulation, which have appeared in respected publications like Business Lawyer and Law360. In addition to his teaching role at the University of Pennsylvania Carey Law School, he also serves as an adjunct professor at Cornell Law School and Fordham Law School, focusing on broker-dealer and investment adviser regulation.
Wharton Doctoral programs cover fields like Finance, Marketing, Management, and Operations, Information and Decisions.