Focus Areas
- “SEC Proposes Revisions to the Advertising Rules for Investment Advisers,” Thompson Hine Investment Management Update, December 2019
- “SEC Issues New Guidance Regarding Investment Advisers’ Proxy Voting Responsibilities and Proxy Advisory Firms,” Thompson Hine Investment Management Update, September 2019
- “SEC Proposes New Rule for Fund of Funds Arrangements,” Thompson Hine Investment Management Update, January 2019
- “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 Allows Temporary Mutual Fund Redemption Delays When Financial Exploitation of Seniors Is Suspected,” Thompson Hine Investment Management Update, June 2018
- “SEC Proposals Promote Distribution of Research on Investment Funds,” Thompson Hine Investment Management Update, June 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
- Co-author, Ohio Business Trust Statute, Ohio Revised Code, Chapter 1746
- AV® Preeminent Rated by Martindale-Hubbell
- Selected for inclusion in The Best Lawyers America© 2012 to 2021 in the fields of Corporate Law and Private Funds/Hedge Funds Law
Professional Associations
- Cincinnati Bar Association
- American Bar Association, Committee on Federal Regulation of Securities, Subcommittee on Investment Companies and Investment Advisers
Professional Activities
- Greater Cincinnati Mutual Funds Association, co-founder and former trustee
- Ohio Division of Securities, former member of the Small Business & High Technology Committee
Community Activities
- Cincinnati Opera, Board of Trustees
- Leadership Cincinnati, Class XII
- Leadership Cincinnati, former member of the Steering Committee; former vice president of Projects of Alumni Association
- School Foundation of Greater Cincinnati, former president
- United Way, former member of the Prospectors Group
- Human Involvement Project, Inc., former president
- Cincinnati Symphony Association, former president of the Research and Development Committee
- The Literary Board, former president
- Joy Outdoor Education Center, former trustee
Education
- Stanford Law School, J.D., 1975
- Yale University, B.A., 1971, magna cum laude,
Phi Beta Kappa (elected junior year)
Bar Admissions
- Ohio
Court Admissions
- U.S. District Court for the Southern District of Ohio
Languages
- French
- SEC Proposes Revisions to the Advertising Rules for Investment Advisers,
Investment Management Update
, December 5, 2019 - SEC Issues New Guidance Regarding Investment Advisers’ Proxy Voting Responsibilities,
Investment Management Update
, September 5, 2019 - SEC Proposes New Rule for Fund of Funds Arrangements,
Investment Management Update
, January 7, 2019