Katherine R. Goldstein

Partner

Areas of Focus

Katherine R. Goldstein

Partner

kgoldstein@akingump.com

Areas of Focus

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Biography
  • Regularly advises companies, boards and individuals facing high-stakes investigations by the DOJ, SEC, CFTC and other regulators. Conducts sensitive internal investigations.
  • Experienced trial lawyer in both government and private practice.
  • Regular speaker and panelist at leading industry conferences on criminal and regulatory matters.
  • Served as Chief of the Securities and Commodities Fraud Task Force in the U.S. Attorney’s Office for the Southern District of New York (SDNY).

Katie is co-head of Akin's white collar defense and global investigations practice. She represents banks, private funds, corporations and their senior executives in investigations and enforcement proceedings arising under the federal securities and commodities laws. Ranked Band 2, she is described by Chambers USA as “outstanding: cool under fire, measured and a consummate strategic thinker.”

She helps clients navigate a broad range of criminal and civil matters involving:

  • Accounting and disclosure fraud
  • Insider trading
  • Bank Secrecy Act and money laundering violations
  • Conflicts of interest/self-dealing/bribery
  • Market manipulation, disruptive trading and other trade practice violations
  • Mismarking of complex products
  • Cryptocurrency related-issues
  • ESG-related issues
  • SPAC-related issues
  • Corporate culture issues and workplace misconduct.

An experienced trial lawyer, Katie’s practice builds on nearly 12 years of experience as a federal prosecutor where she served in several significant leadership roles. After joining the U.S. Attorney’s Office for the Southern District of New York in 2004, she prosecuted a wide range of matters involving accounting and disclosure fraud, insider trading, manipulative trading and investor fraud, among others, serving as lead trial counsel in numerous complex securities fraud cases. She was promoted to Chief of the Securities and Commodities Fraud Task Force in 2015 after serving as Deputy Chief for one year, and before that Co-Chief of the General Crimes Unit for two years. 

During her nearly three years leading the securities fraud unit, Katie supervised a team of approximately 20 senior prosecutors in connection with some of the most complex and high-profile white collar and securities matters in the country. She led all aspects of the unit’s work from investigation through prosecution, spanning a broad range of matters, including supervision of the unit’s trials and appeals.

Katie is ranked by Chambers USA, where she is noted for her “strong reputation” and her “broad criminal defense practice” and where clients have described her as a “really excellent lawyer — very levelheaded, so smart and really able to get into the details.”

Katie is an adjunct professor at New York University School of Law where she teaches a seminar on Complex Federal Investigations. 

Katie received her B.A. magna cum laude in political science from Duke University, and her J.D. cum laude from Harvard Law School where she was co-chair of the Harvard Law Review’s Supreme Court Issue. From 2000 to 2001, she served as a law clerk to the Honorable Karen Nelson Moore on the United States Court of Appeals for the 6th Circuit.

Representative Work

Board/Committee Representations

  • Represented the audit committee of a board of directors of a multinational telecommunications provider, as well as the company, in connection with an SEC investigation into alleged accounting and related internal controls issues. The representation included counseling the company through the restatement process. Ultimately, the SEC declined to impose a penalty due to our client’s prompt self-reporting, substantial cooperation and extensive remediation.
  • Represented a special committee of the board of directors of a portfolio company of a multibillion dollar private equity firm in connection with an internal investigation into whistleblower allegations of potential accounting irregularities.
  • Represented a special committee and conducted internal investigations for publicly traded companies in connection with allegations concerning corporate culture issues.
  • Conducted an investigation on behalf of an audit committee of the board of directors of a publicly traded media company in connection with whistleblower allegations concerning allegedly false and misleading statements regarding recent M&A activity.*
  • Represented an audit committee of a board of directors of a publicly traded company in connection with DOJ and SEC investigations into the company’s revenue recognition practices, including counseling the audit committee through a multiyear restatement of its financials.*
  • Represented a special committee of a board of directors of a publicly traded company in connection with DOJ and SEC investigations into the company’s public statements about the impact on the company’s performance, business and results of a documentary film.*

Financial Institutions/Asset Managers and their employees

  • Representing a multibillion-dollar asset manager in an investigation involving potentially fraudulent conduct by an individual associated with a limited partner in multiple of the manager’s funds.
  • Representing a leading global asset management firm in internal and SEC investigations arising from prearranged cross-trading of fixed income investment products.
  • Serving as pool counsel for an investment adviser in connection with the SEC’s off-platform communications sweep.
  • Represented numerous individuals at a global financial institution in connection with criminal and civil litigation arising from alleged corruption and fraud involving 1MDB.
  • Represented a private equity partner in a criminal insider trading case culminating in a trial in the SDNY.*

Individual Representations

  • Represented a co-founder of a leading bitcoin derivatives exchange in a SDNY criminal case alleging willful violations of the Bank Secrecy Act, as well as parallel CFTC civil enforcement action arising from failure to register with the Commission.   
  • Represented a former partner of an international law firm in connection with a DOJ investigation related to the Panama Papers.
  • Represented senior executives and board members in connection with investigations by the DOJ, SEC and CFTC into alleged insider trading, deceptive trading and sales practices, corruption and FCPA violations, among others.

Other

  • Appointed by the Second Circuit Court of Appeals as amicus curiae in United States v. Blaszczak to brief and argue that confidential government information is property for the purposes of the Title 18 wire fraud and securities fraud statutes.

*Matters handled prior to joining Akin.

“She understands the big picture and is very detail-oriented, so she gives very thorough advice to her clients.”

Chambers USA, 2023

Education
  • J.D., Harvard Law School, cum laude, 2000

  • B.A., Duke University, magna cum laude, 1996

Clerkships
  • U.S.C.A., 6th Circuit

Bar Admissions
  • New York

Recognitions
  • Chambers USA, Litigation: White-Collar Crime & Government Investigations: The Elite, Band 2, 2023.
  • Euromoney, Expert Guide: Women in Business Law 2022, “White Collar Crime.”
  • Global Investigations Review, Women in Investigations, 2021.
  • The American Lawyer, Northeast Trailblazers, 2021.
  • Securities Docket, Enforcement 40, 2020. This list recognizes “the 40 best and brightest securities enforcement defense lawyers.”
  • Legal 500 USA, General Commercial Disputes, Securities Litigation and White Collar.
  • Benchmark Litigation, “Future Star.”
Affiliations and Public Service
  • Adjunct Professor, NYU School of Law.
  • Member, Women in the Legal Profession: White Collar Crime Subcommittee of the New York City Bar Association.
  • Member, Former U.S. Attorney Preet Bharara’s Task Force on Insider Trading.
Speeches and Publications
  • “The Future of Investment Banking and Capital Markets Enforcement,” SIFMA C&L Annual Seminar, Orlando, March 2024. 
  • “Securities Enforcement - New Priorities and Expectations,” American Bar Association’s 39th Annual National Institute on White Collar Crime, San Francisco, March 2024. 
  • “U.S. DOJ White-Collar Criminal Investigations: International Perspectives on Current Policies,” American Bar Association International Law Section's Annual Conference, New York, May 2023.
  • “Securities Enforcement - New Priorities and Expectations,” American Bar Association’s 38th Annual National Institute on White Collar Crime, Miami, March 2023.
  • “Insider Trading Law 2022,” PLI, October 2022.
  • “Securities Litigation: The Investigation: Coordinating Requests From Government Regulators,” PLI Securities Litigation 2022: From Investigation to Trial, March 28, 2022.
  • “Handling a Regulatory Investigation: In-House and Outside Counsel Perspectives,” SIFMA C&L Annual Seminar, March 21, 2022.
  • “Insider Trading Law 2021,” PLI, October 2021.
  • “Policing the Markets: Updates on Securities Investigations and Enforcement,” PLI’s White Collar Crime 2021, October 2021.
  • “Securities Litigation: The Investigation: Coordinating Requests From Government Regulators,” PLI’s Securities Litigation 2021: From Investigation to Trial, March 2021.
  • “U.S. Enforcement Priorities Under the Biden Administration and a New Congress,” Akin Gump Webinar, March 2021.
  • “Recent Trials,” New York City Bar Association’s 9th Annual White Collar Crime Institute, January 2021.
  • PLI’s White Collar Crime 2020: Prosecutors and Regulators Speak, September 2020.
  • “Securities Litigation: The Investigation: Coordinating Requests From Government Regulators,” PLI’s Securities Litigation 2020: From Investigation to Trial, July 2020.
  • “Handling a Regulatory Investigation – In House and Outside Counsel Perspective,” SIFMA C&L Annual Seminar, May 2020.
  • “Securities Litigation Institute: SEC Enforcement Today Panel,” New York City Bar Association, New York, January 2020.
  • “FCPA and Anti-Corruption Investigations and Enforcement,” PLI’s White Collar Crime 2019: Prosecutors and Regulators Speak, New York, September 2019.
  • “Retail Investors: The New Enforcement Frontier?” PLI’s Enforcement 2019: Perspectives from Government Agencies, New York, May 2019.
  • “Securities Litigation: The Investigation: Coordinating Requests from Government Regulators,” PLI’s Securities Litigation 2019: From Investigation to Trial, New York, April 2019.
  • “The Rewards of Government Service: Leading Women in the Industry Tell Their Story,” New York City Bar Association, New York, January 2019.
  • “Enforcement Priorities,” PLI’s Enforcement 2018: Perspectives from Government Agencies, New York, May 2018.
  • “Securities Litigation: The Investigation: Coordinating Requests from Government,” PLI’s Securities Litigation 2018: From Investigation to Trial seminar, New York, April 2018.
  • “Mitigating Insider Trading Risk: Best Practices for Private Fund Managers Amidst the Rulings in Martoma, Newman and Salman,” The Hedge Fund Law Report, New York, November 2017.
  • “Legal and Policy Developments in Enforcement,” PLI’s Enforcement 2017: Perspectives from Government Agencies, New York, May 2017.
  • “Securities Litigation: The Investigation: Coordinating Requests from Government Regulators,” at the PLI’s Securities Litigation 2017: From Investigation to Trial seminar, New York, April 2017.
  • “Securities Enforcement,” American Bar Association’s 31st Annual National Institute on White Collar Crime, Miami, March 2017.

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