Focus Areas
- “SEC Proposes Standardized ESG Disclosure for Funds and Advisers,” Thompson Hine Investment Management Update, June 2022
- “SEC Proposes Enhanced Proxy Voting Disclosures,” Thompson Hine Investment Management Update, October 2021
- “SEC Division of Investment Management Releases Statement on Bitcoin Futures and Registered Funds,” Thompson Hine Investment Management Update, May 2021
- “SEC Announces 2021 Exam Priorities,” Thompson Hine Investment Management Update, March 2021
- “SEC Modernizes Framework for Fund Valuation Practices,” Thompson Hine Investment Management Update, December 2020
- “SEC Adopts New Fund Derivatives Rule,” Thompson Hine Investment Management Update, December 2020
- “SEC Adopts New Rule for Fund of Funds Arrangements,” Thompson Hine Investment Management Update, October 2020
- “SEC Proposes Mutual Fund and ETF Disclosure Amendments,” Thompson Hine Investment Management Update, September 2020
- “SEC Adopts Amendments to Exemptive Application Procedures,” Thompson Hine Investment Management Update, July 2020
- “SEC Extends Relief for Virtual Meetings of Fund Boards,” Thompson Hine Investment Management Update, July 2020
- “SEC Announces LIBOR Examination Initiative,” Thompson Hine Investment Management Update, July 2020
- “Volcker Rule Changes Will Expand Banks’ Investment Abilities,” Thompson Hine Investment Management Update, July 2020
- “OCIE Private Fund Adviser Examinations Reveal Common Compliance Issues,” Thompson Hine Investment Management Update, June 2020
- “SEC Proposes Rule to Establish Framework for Fund Valuation Practices,” Thompson Hine Investment Management Update, May 2020
- “SEC Provides Guidance on Disclosures of Registered Investment Advisers Using Paycheck Protection Program Loans,” Thompson Hine COVID-19 Update, May 2020
- “SEC Temporarily Exempts Open-End Funds from Some Short-Term Funding Requirements,” Thompson Hine COVID-19 Update, March 2020
- “SEC Issues Guidance for Registered Funds Facing Operational Challenges due to COVID-19,” Thompson Hine COVID-19 Update, March 2020
- “SEC Provides Temporary Regulatory Relief for Investment Advisers,” Thompson Hine COVID-19 Update, March 2020
- “SEC Issues Annual Meeting Guidance Amid COVID-19 Concerns,” Thompson Hine COVID-19 Update, March 2020
- “SEC Extends Relief Overriding In-Person Meeting Requirements,” Thompson Hine Investment Management Update, March 2020
- “SEC Seeks Comment on Amending ‘Names Rule’ to Eliminate Misleading Fund Names,” Investment Management Update, March 2020
- “SEC Extends Relief Overriding In-Person Board Meeting Requirements,” COVID-19 Update, March 2020
- “SEC Proposes Rules Governing Use of Derivatives,” Thompson Hine Investment Management Update, January 2020
- “OCIE Announces 2020 Examination Priorities,” Thompson Hine Investment Management Update, January 2020
- “SEC Proposes Revisions to the Advertising Rules for Investment Advisers,” Thompson Hine Investment Management Update, December 2019
- “The ETF Evolution Continues: SEC Approves Four New “Proxy Basket” Active Semi-Transparent ETFs,” Thompson Hine ETF Reg Insights, December 2019
- “ETF Complexes Should Prepare Now to Comply with New Rule 6c-11 to be in a Position to Unlock Its Key Regulatory Advantages by Year-End,” Thompson Hine ETF Reg Insights, October 2019
- “Advisory Firm Fined $15 Million for Improper Fees on Inactive Accounts and Failure to Disclose Conflict of Interest,” Thompson Hine Investment Management Update, September 2019
- “SEC Issues New Guidance Regarding Investment Advisers’ Proxy Voting Responsibilities and Proxy Advisory Firms,” Thompson Hine Investment Management Update, September 2019
- “SEC Issues No-Action Letter Regarding Fund Board In-Person Voting Requirements,” Thompson Hine Investment Management Update, March 2019
- “FINRA Guidance Permits Pre-Inception Index Performance Data in Fund Communications with Institutional Investors,” Thompson Hine Investment Management Update, February 2019
- “SEC Proposes New Rule for Fund of Funds Arrangements,” Thompson Hine Investment Management Update, January 2019
- “NFA Proposes Amendments to 2016 Cybersecurity Guidance,” Thompson Hine Investment Management Update, December 2018
- “SEC Adopts Safe Harbor Rule for Investment Fund Research Reports,” Thompson Hine Investment Management Update, December 2018
- “Ohio Elder Abuse Mandatory Reporting Requirements for Financial Services Professionals,” Thompson Hine Investment Management Update, December 2018
- “SEC Issues No-Action Letter Allowing Fund Boards to Rely on CCO Representations to Comply with Certain Exemptive Rules,” Thompson Hine Investment Management Update, October 2018
- “SEC Issues Risk Alert on Best Execution Practices,” Thompson Hine Investment Management Update, July 2018
- “Further Staff Guidance on Inadvertent Custody,” Thompson Hine Investment Management Update, July 2018
- “SEC Suspends Pending Administrative Proceedings in Wake of Lucia Decision,” Thompson Hine Investment Management Update, July 2018
- “SEC Allows Temporary Mutual Fund Redemption Delays When Financial Exploitation of Seniors Is Suspected,” Thompson Hine Investment Management Update, June 2018
- “SEC Charges 13 Private Fund Advisers for Failures to File Form PF,” Thompson Hine Investment Management Update, June 2018
- “SEC Proposals Promote Distribution of Research on Investment Funds,” Thompson Hine Investment Management Update, June 2018
- “SEC Proposes Changes to Auditor Independence,” Thompson Hine Investment Management Update, June 2018
- “OCIE Issues Risk Alert Regarding Advisory Fee Violations,” Thompson Hine Investment Management Update, April 2018
- Quoted, “Liquidity Rule’s Buckets Could Still Get Dumped: Sources,” Ignites, April 2018
- “SEC Proposes Changes to Liquidity Risk Disclosures,” Thompson Hine Investment Management Update, March 2018
- “OCIE Announces 2018 Examination Priorities,” Thompson Hine Investment Management Update, March 2018
- “Most Common Advertising Rule Compliance Issues Raised in OCIE Deficiency Letters,” Thompson Hine Investment Management Update, October 2017
- “Advisers Must Offer Investors the Lowest-Fee Share Class Available,” Thompson Hine Investment Management Update, September 2017
- “Fund of Funds Investor Loses Appeal on Excessive Fee Case,” Thompson Hine Investment Management Update, August 2017
- “Supreme Court Ruling Limits SEC Disgorgement Recoveries,” Thompson Hine Investment Management Update, June 2017
- “Federal Court Upholds Attorney-Client Privilege in Discovery Dispute,” Thompson Hine Investment Management Update, May 2017
- “SEC Issues Guidance on Robo-Advisers,” Thompson Hine Investment Management Update, March 2017
- “OCIE Identifies Five Most Common Adviser Compliance Deficiencies,” Thompson Hine Investment Management Update, February 2017
- “SEC Issues Guidance on Section 22(d) Restrictions,” Thompson Hine Investment Management Update, February 2017
- “SEC Guidance for Funds Offering Sales Load Variations and New Share Classes,” Thompson Hine Investment Management Update, January 2017
- “Federal Court Permits Fiduciary Exception to Attorney-Client Privilege,” Thompson Hine Investment Management Update, December 2016
- “SEC Approves FINRA Rule Amendments Governing Mutual Fund Retail Communications,” Thompson Hine Investment Management Update, November 2016
- “Investment Company Reporting Modernization,” Thompson Hine Investment Management Update, November 2016
- “SEC Adopts Rule Requiring Liquidity Risk Management Programs for Funds,” Thompson Hine Investment Management Update, October 2016
- “SEC Issues No-Action Letter on Fund Auditor Independence,” Thompson Hine Investment Management Update, August 2016
- “SEC Proposes Business Continuity & Transition Plan Rule,” Thompson Hine Investment Management Update, July 2016
- “SEC Issues No-Action Relief to ETF Seeking to Exceed Insurance Company Investment Limits,” Thompson Hine Investment Management Update, May 2016
- “FINRA Issues Report on Digital Investment Advice,” Thompson Hine Investment Management Update, April 2016
- “Advisers Fined for Steering Clients to Higher-Fee Funds,” Thompson Hine Investment Management Update, March 2016
- “Funds Must Disclose Risks Related to Current Market Conditions,” Thompson Hine Investment Management Update, March 2016
- “FINRA Proposes Revised Broker-Dealer Pay-to-Play Rules,” Thompson Hine Investment Management Update, March 2016
- “2016 FINRA Exam Priorities,” Thompson Hine Investment Management Update, January 2016
- “SEC Proposes Derivative Rules for Registered Investment Companies,” Thompson Hine Investment Management Update, December 2015
- “Do’s & Don’ts for Advisers & Funds With Outsourced CCOs,” Thompson Hine Investment Management Update, December 2015
- “New AML Regulations Proposed for Certain Investment Advisers,” Thompson Hine Investment Management Update, October 2015
- “SEC Proposes Fund Liquidity Risk Management Programs,” Thompson Hine Investment Management Update, October 2015
- “Money Market Fund Rule Amendments,” Thompson Hine Investment Management Update, September 2015
- “OCIE Names Focus Areas for 2015 Cybersecurity Examinations,” Thompson Hine Investment Management Update, September 2015
- “SEC Brings First Enforcement Action Under Distribution-in-Guise Initiative,” Thompson Hine Investment Management Update, September 2015
- “Second Circuit Broadens Dodd-Frank Whistleblower Interpretation,” Thompson Hine Investment Management Update, September 2015
- “SEC Brings Charges Related to 15(c) Process Failures,” Thompson Hine Investment Management Update, June 2015
- “SEC Proposes New Reporting Rules,” Thompson Hine Investment Management Update, June 2015
- “SEC Proposes Changes to Form ADV & Recordkeeping Requirements,” Thompson Hine Investment Management Update, June 2015
- “FINRA Proposes Changes to Retail Communications Rules,” Thompson Hine Investment Management Update, June 2015
- “SEC Enforcement Action Highlights Profitability Analysis in 15(c) Process.” Thompson Hine Investment Management Update, May 2015
- “Confidentiality Agreements Have “Chilling” Effect on Would-Be Whistleblowers,” Thompson Hine Investment Management Update, April 2015
- “SEC Grants Orders to Include In-Laws in Family Office Exemption,” Thompson Hine Investment Management Update, March 2015
- “SEC Chair Addresses Risks & Regulatory Safeguards for the Asset Management Industry,” Thompson Hine Investment Management Update, December 2014
- “SEC Guidance on Consolidating Investment Company Financial Statements,” Thompson Hine Investment Management Update, November 2014
- “SEC Takes Action Against Corporate Insiders for Disclosure Violations,” Thompson Hine Investment Management Update, September 2014
- “Investment Adviser Proxy Voting Responsibilities & Use of Proxy Advisory Firms,” Thompson Hine Investment Management Update, July 2014
- “SEC Issues Guidance on Mutual Fund Summary Prospectuses,” Thompson Hine Investment Management Update, July 2014
- Presenter, “Non-compete Agreements: What You Need to Know,” Thompson Hine’s Investment Management Coffee Chat Webinar Series, June 30, 2021
- Presenter, “R.I.P. ESG? Implications of Recent ERISA Guidance on ESG Investing,” Thompson Hine’s Investment Management Coffee Chat Webinar Series, March 24, 2021
- “The DOL’s Final Fiduciary Rule _ What It Means To Your Business,” August 23, 2017
- Listed in The Legal 500, 2018 to 2022
New York State Bar Association
Education
- Fordham University School of Law, J.D.
- Fordham University, B.A.
Bar Admissions
- New York
- Ohio
- SEC Proposes Standardized ESG Disclosure for Funds and Advisers,
Investment Management Update
, June 29, 2022 - SEC Proposes Amendments to Money Market Fund Rules,
Investment Management Update
, January 10, 2022 - FINRA Raises Stakes in 2022 for Firms Tolerating Bad Brokerage Disciplinary Histories,
Investment Management Update
, January 5, 2022 - SEC Proposes Enhanced Proxy Voting Disclosures,
Investment Management Update
, October 25, 2021 - SEC Division of Investment Management Releases Statement on Bitcoin Futures and Registered Funds,
Investment Management Update
, May 14, 2021 - SEC Announces 2021 Exam Priorities,
Investment Management Update
, March 19, 2021 - SEC Modernizes Framework for Fund Valuation Practices,
Investment Management Update
, December 14, 2020 - SEC Adopts New Fund Derivatives Rule,
Investment Management Update
, December 1, 2020 - SEC Adopts New Rule for Fund of Funds Arrangements,
Investment Management Update
, October 21, 2020 - SEC Proposes Mutual Fund and ETF Disclosure Amendments,
Investment Management Update
, September 25, 2020