Kathryn Roe Eldridge
Shareholder
PROFILE
EXPERIENCE
AWARDS
AFFILIATIONS

Katy’s Profile

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.

Katy’s Experience

  • Stein v. Regions Morgan Keegan Select High Income Fund, Inc., 821 F. 3d 780 (6th Cir 2016). Obtained dismissal of securities claims as barred by statutes of repose and not subject to American Pipe tolling.
  • Mendel v. Morgan Keegan, 2016 US. App. Lexis 11460 (March 23, 2016 11th Cir.). Defeated effort to vacate arbitration award based on alleged arbitrator bias.
  • Ameriprise Financial Services v. Jones, 195 So.3d 263 (Ala. 2015). Compelled all claims of beneficiaries of a decedent’s will that were non-signatories to the decedent’s arbitration agreement including tort of outrage claims.
  • Defended large broker-dealer in Boca Raton, FL arbitration involving claims in excess of $1 million regarding preferred securities that resulted in a $0 award to Claimants.
  • Defended broker-dealer in Syracuse, NY arbitration brought by widow alleging deceased husband was sold unsuitable investments that resulted in a complete denial of Claimant’s claims.
  • Successfully defended a number of cases on behalf of a broker dealer facing mass product claims.
  • Defended Morgan Keegan in an arbitration held in Nashville, Tennessee relating to the RMK Bond Funds that resulted in a complete denial of the Claimant’s claims and an award of expungement to the financial advisor involved.
  • Defended large broker-dealer in a Richmond, Virginia arbitration involving allegations relating to equity investments, mutual funds and share classes that resulted in a $0 award to the Claimants.
  • Successfully defended broker-dealer in employment matter involving claims of defamation and wrongful termination and obtained recovery on a promissory note.

Katy’s Awards

  • Mid-South Super Lawyers “Rising Star” in Securities Litigation (2016-Present)
  • Alabama Super Lawyers “Rising Star” in Securities Litigation (2011-2014)
  • Birmingham Business Journal Top 40 Under 40 (2017)
  • 2017 Women Who Shape the State, al.com/Birmingham Magazine

Katy’s Affiliations & Civic Involvement

  • American Bar Association
  • Alabama State Bar Association
  • Birmingham Bar Association
  • SIFMA – Legal and Compliance
  • National Association of Women Lawyers
  • Junior League of Birmingham, Board Member: President-Elect, Recording Secretary, Membership Vice President
  • Friends of the Birmingham Botanical Gardens, Past Member Board of Directors, Junior Board Past President and Member
  • Symphony 30
  • Pro Bono service through BVLP
  • Regular volunteer with Birmingham Reads
CONTACT
T 205.254.1205
F 205.254.1999
vCard
Paralegal
Tonya Stevenson
Paralegal
Justina Deloney
RELATED INDUSTRIES & SERVICES
BAR ADMISSIONS
State Bar:Alabama, Florida
U.S. District Court:Alabama(Northern, Middle), Florida(Northern, Middle, Southern)
U.S. Court of Appeals:Sixth Circuit, Eleventh Circuit
EDUCATION
Washington and Lee University School of Law(2003, J.D., magna cum laude; Order of the Coif; Capital Defense Journal, Editor; Virginia Capital Case Clearinghouse)
Centre College (2000, B.A)
News
MAYNARD COOPER & GALE RECEIVES RECOGNITION IN RECENT U.S. NEWS/BEST LAWYERS “BEST LAW FIRMS” AND SUPER LAWYERS LISTINGS
The recently released edition of the U.S. News-Best Lawyers® “Best Law Firms” positions Maynard Cooper in the National Tier Rankings in 10 areas of practice, including Commercial Litigation, Corporate Law, Land Use & Zoning Law, L...
Blog
Shareholder Katy Eldridge Named to Birmingham's Top 40 Under 40
Thursday, February 2, 2017 Maynard Cooper & Gale is excited to announce Shareholder Katy Eldridge was selected by the Birmingham Busi...
News
95 MAYNARD COOPER & GALE ATTORNEYS DISTINGUISHED IN THE 2017 SUPER LAWYERS LISTINGS
Maynard Cooper & Gale is pleased to announce that 95 attorneys have been selected as 2017 Super Lawyers, including 90 among the firm’s Alabama office locations, two in the firm’s New York office, and three in its San Francisco office....
News
SHAREHOLDER KATY ELDRIDGE NAMED TO 2017 CLASS OF WOMEN WHO SHAPE THE STATE
Maynard Cooper & Gale is pleased to announce that Katy Eldridge, a shareholder in the firm's Birmingham office, has been named to the 2017 class of "Women Who Sha...