Katy is a Shareholder and member of the Securities Litigation practice at Maynard Cooper.
She has a wide array of experience representing clients in the financial services arena. Katy has handled hundreds of cases with positive results. She has tried approximately 30 cases through final decision. Moreover, she has served as first chair in at least 10 matters handled through final decision. The majority of her work is in defense of brokerage firms against claims asserted by customers in arbitration proceedings before the Financial Industry Regulatory Authority (FINRA). She also represents individuals seeking to obtain expungement awards before FINRA and in state court.
Katy also has experience representing brokerage firms in employment matters before FINRA, as well as in state and federal court. In addition, she has handled matters before state and federal courts throughout the country on behalf of broker-dealers, investment advisors, banks, insurance companies, and mortgage companies. She has helped individuals and institutions facing regulatory investigations from State regulators as well as SROs such as FINRA.
Additionally, Katy’s more general litigation experience includes aiding clients in both court and AAA arbitration.
Super Lawyers has recognized Katy as a “Rising Star" in Securities Litigation and she has been named to the Birmingham Business Journal's Top 40 Under 40 list for 2017.
She received her J.D. from Washington and Lee University and holds a B.A. from Centre College.