FacultyFaculty/Author Profile
Katherine R. Goldstein

Katherine R. Goldstein

Milbank, Tweed, Hadley & McCloy LLP

New York City, NY, USA


Katherine Goldstein is a partner in the New York office of Milbank, Tweed, Hadley & McCloy and a member of the firm’s Litigation & Arbitration Group. Katie’s practice, which focuses on representations of individuals and entities facing white-collar, regulatory or internal investigations, builds on her more than a decade of experience as a federal prosecutor, including serving most recently as Chief of the Securities and Commodities Fraud Task Force in the United States Attorney’s Office for the Southern District of New York, where she oversaw some of the most complex and high-profile white collar and securities matters in the country.

Primary Focus & Experience
Ms. Goldstein is the former Chief of the Securities and Commodities Fraud Task Force at the United States Attorney’s Office. She joined the US Attorney’s Office in 2004, where she prosecuted a wide range of securities fraud cases, among others, and 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 as a chief, Ms. Goldstein supervised a team of approximately 20 senior prosecutors and all aspects of the unit’s work from investigation through prosecution, including a broad array of cases involving accounting and disclosure fraud, insider trading, market manipulation, mismarking of complex products, corporate fraud, and fraudulent investor schemes, among others. Notable prosecutions brought under her leadership include: a professional gambler charged with trading on inside information obtained from a board member of a publicly traded company; corporate executives charged with honest services fraud; a hedge fund portfolio manager charged with trading on inside information obtained from a political consultant; a hedge fund portfolio manager charged with the mismarking of illiquid fund assets; and senior executives charged with a multi-year accounting fraud scheme at a publicly traded digital media company, as well as the market manipulation of the company’s stock and investment advisor fraud. She also supervised the unit’s trials and appeals.

As an Assistant US Attorney, Ms. Goldstein was an accomplished trial lawyer and argued numerous appeals in the Second Circuit. Among the high-profile cases she tried were U.S. v. Mandell, et al. (a $100-million market manipulation and investor fraud, which resulted in a 12-year sentence) and U.S. v. Ebbers (public company accounting fraud by the CEO of WorldCom, which resulted in a 25-year sentence). As Chief of the General Crimes Unit, she supervised the office’s new Assistant US Attorneys, numerous investigations and dozens of trials.

Before becoming a prosecutor, Ms. Goldstein was an associate at a major national law firm.

Recognition & Accomplishments

Ms. Goldstein received her B.A. degree magna cum laude, in political science, from Duke University. She received her J.D. degree cum laude, from Harvard Law School, where she was Co-Chair of the Harvard Law Review’s Supreme Court Issue. From 2000 to 2001, Ms. Goldstein served as a law clerk to the Honorable Karen Nelson Moore in the United States Court of Appeals for the Sixth Circuit.

Recent speaking engagements

  • Panelist, “Securities Litigation: The Investigation: Coordinating Requests from Government,” at the Practising Law Institute’s Securities Litigation 2018: From Investigation to Trial seminar, New York (April 2018)
  • Panelist, “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)
  • Moderator, “Legal and Policy Developments in Enforcement” at the Practicing Law Institute’s Enforcement 2017: Perspectives from Government Agencies, New York (May 2017)
  • Panelist, “Securities Litigation: The Investigation: Coordinating Requests from Government Regulators” at the Practising Law Institute’s Securities Litigation 2017: From Investigation to Trial seminar, New York (April 2017)
Katherine R. Goldstein is associated with the following items:
Web Segment  Web Segment Securities Litigation: The Investigation: Coordinating Requests from Government - Securities Litigation 2018: From Investigation to Trial, Tuesday, April 10, 2018
Enforcement Priorities, Monday, May 14, 2018
MP3 Audio  MP3 Audio Securities Litigation: The Investigation: Coordinating Requests from Government - Securities Litigation: The Investigation: Coordinating Requests from Government, Tuesday, April 10, 2018
Enforcement Priorities - Enforcement Priorities, Monday, May 14, 2018
Transcripts  Transcripts Securities Litigation: The Investigation: Coordinating Requests from Government - Securities Litigation: The Investigation: Coordinating Requests from Government, Tuesday, April 10, 2018
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Securities Litigation: The Investigation: Coordinating Requests from Government - Securities Litigation: The Investigation: Coordinating Requests from Government, Tuesday, April 10, 2018
Enforcement Priorities - Enforcement Priorities, Monday, May 14, 2018
On-Demand Web Programs  On-Demand Web Programs Securities Litigation 2018: From Investigation to Trial, Wednesday, April 11, 2018, New York, NY
Enforcement 2018: Perspectives from Government Agencies, Wednesday, May 16, 2018, New York, NY
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