Katherine Stoller


Katherine is US Head of Investigations & White Collar. She focuses on complex criminal and regulatory enforcement matters and internal investigations involving allegations of money laundering, AML/BSA violations, economic sanctions violations, financial fraud, corruption, and workplace misconduct. She has represented global banks and leading businesses in resolving multifaceted cross-border investigations that present uniquely challenging legal and operational issues.

Katherine has represented companies and individuals under investigation by government authorities including the U.S. Department of Justice, the Securities and Exchange Commission, the Federal Reserve Board, the Office of the Comptroller of the Currency, the New York Department of Financial Services, and the Office of Foreign Assets Control. Conducting and overseeing corporate internal investigations is a cornerstone of Katherine’s practice. She is skilled at resolving the many legal, regulatory and technical issues arising in fact-finding for global concerns operating under close regulatory supervision.

Katherine frequently advises boards of directors and special committees overseeing government and internal investigations, as well as on governance and compliance. Katherine’s practice also includes BSA/AML, sanctions, and anti-corruption advice, including related bank regulatory advice to U.S.- and non-U.S. financial institutions. Katherine has deep experience defending high-stakes civil securities fraud claims and represents clients in a wide range of complex commercial disputes, particularly in cross-border litigation.


Representative matters


Copenhagen-based Danske Bank A/S in investigations by DOJ, the SEC, and Danish criminal authorities arising from its former Estonian branch, resulting in a USD 2 billion global settlement. This high-profile case, with media coverage of extensive alleged money laundering activity, was resolved without money laundering charges.

Deutsche Bank in the investigation and resolutions with the New York State Department of Financial Services and the Federal Reserve relating to anti-money laundering compliance in its Moscow office. No DOJ charges were brought.

UniCredit in connection with compliance obligations arising from its settlements with DOJ, the District Attorney of New York County, the Federal Reserve, OFAC and the New York State Department of Financial Services, following global resolution of U.S. economic sanctions charges.

Wachovia Bank in the investigation and resolution with DOJ, FinCEN, and the OCC related to anti-money laundering compliance in Wachovia’s correspondent banking business.

Fiat Chrysler Automobiles N.V. and FCA US LLC in resolving an SEC investigation of sales reporting practices.

Numerous financial institutions and companies in cross-border investigations relating to money laundering, BSA/AML compliance, and sanctions violations, including in connection with Russia, the Baltics, the Middle East, and Latin America.

Major financial institution in multiple internal investigations related to control failures and regulatory interactions.

Numerous companies and financial institutions in internal investigations involving whistleblower and workplace misconduct allegations, including sexual harassment, hostile workplace environment, and discrimination.  

Consumer-facing tech company in a DOJ fraud investigation, resulting in a declination.

Global investment bank in connection with SEC and FINRA inquiries into underwriting practices.

Global financial institution in connection with a price-fixing investigation.

A company and its CEO in connection with an insider trading investigation. Secured a declination from the SEC.

Global financial services firm in a False Claims Act investigation in which the government declined to intervene.




Nomura Holding America Inc. in a securities action brought by the Federal Housing Finance Agency concerning Freddie’s and Fannie’s purchase of RMBS before the financial crisis. Defended Nomura in four-week bench trial in the U.S. District Court for the Southern District of New York, in one of the only financial crisis securities litigations to go to trial.

Philips in a successful bench trial before the Delaware Court of Chancery involving contractual, fraud and corporate law claims by an Italian investor under the laws of Italy, the Netherlands and Delaware pertaining to a €200 million loan to a third-party company.

Goldman Sachs in a series of litigations brought by various companies alleging that they manipulated the market for those companies’ stocks by intentionally failing to deliver shares sufficient to settle short positions entered into by the defendants’ clients.

Porsche in obtaining the dismissal of federal securities claims (affirmed by the U.S. Court of Appeals for the Second Circuit) seeking more than $2.5 billion arising out of its takeover bid for Volkswagen; also represented the client in obtaining the dismissal, on appeal, of parallel claims brought in New York State Court.

A prominent family office, in litigation arising out of a Ponzi scheme.

Published Work

  • Author, “Unpacking the New Russia Sanctions and Export Controls”, Law360, 2024
  • Author, “Witness Interviews in Internal Investigations: The US Perspective”, Global Investigations Review, 2022 - 2023
  • Author, “Latest Ripple Development Highlights SEC’s Crypto Approach”, Law360, 2022
  • Author, “Navigating the regulatory web of Russia sanctions”, The Banker, 2022

Speaking Engagements

  • Panelist, “The Nexus of Disputes, Enforcement and Crypto”, Shearman & Sterling Digital Finance Summit, November 2022
  • Panelist, “Anti-Money Laundering Compliance & Investigations”, Nardello & Co. Risk Advisory & Compliance Summit, October 2022
  • Panelist, “Navigating the Russian Sanctions Regime”, LexisNexis, March 2022
  • Panelist, “The Balancing Act: Motherhood and Firm Life”, Columbia Law Women’s Association, February 2022

Leadership Positions And Professional Affiliations

  • Trustee, Practising Law Institute Board Member, City Bar Fund (New York City Bar) Member, The American Law Institute
She brings incredible expertise, manages huge matters and is very good and strong.
Chambers USA, 2023


  • Shortlisted as White Collar Crime Lawyer of the Year by International Financial Law Review’s Women in Business Law Awards, 2023
  • Recognized in White-Collar Crime and Government Investigations by Chambers USA, 2023
  • Recognized for International Litigation and Corporate Investigations and White-Collar Criminal Defense by The Legal 500, 2023
  • Recognized as a “Rising Star” in White Collar Crime by Euromoney Legal Media Group, 2021–2022



New York. 2007


United States Court of Appeals for the Second Circuit, 2018

United States District Court for the Eastern District of New York, 2018

United States Court of Appeals for the District of Columbia Circuit, 2019

United States District Court for the Southern District of New York, 2007


B.A., magna cum laude, Yale College, 2002, Phi Beta Kappa

J.D., Columbia Law School, 2006, Harlan Fiske Stone Scholar

A&O Shearman was formed on May 1, 2024 by the combination of Shearman & Sterling LLP and Allen & Overy LLP and their respective affiliates (the legacy firms). Any matters referred to above may include matters undertaken by one or more of the legacy firms rather than A&O Shearman.