Benjamin J. Catalano

Benjamin J. Catalano is a Lecturer in Law at the University of Pennsylvania Carey Law School, with over 35 years of experience in securities industry regulation and enforcement. He also serves as an adjunct professor at Cornell Law School and Fordham Law School, teaching broker-dealer and investment adviser regulation.

His education includes a BA in Political Science from Boston College (1986) and a JD from St. John’s University School of Law (1995).

Catalano's research focuses on financial regulatory frameworks, including:

• SEC and self-regulatory organization (SRO) compliance
• Broker-dealer and investment management oversight
• Cross-border securities law
• Trading, sales practices, and supervisory systems

He has published extensively in legal journals such as The Business Lawyer and Law360, addressing topics like securities registration, enforcement trends, and global regulatory challenges.