Focus Areas
- “SEC Proposes Standardized ESG Disclosure for Funds and Advisers,” Thompson Hine Investment Management Update, June 2022
- “SEC Issues Annual Meeting Guidance Amid COVID-19 Concerns,” Thompson Hine COVID-19 Update, March 2020
- “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 Charges 13 Private Fund Advisers for Failures to File Form PF,” 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
- “SEC Proposes Changes to Liquidity Risk Disclosures,” Thompson Hine Investment Management Update, March 2018
- “SEC Eases Form ADV Compliance Deadline for Interim Updates,” Thompson Hine Investment Management Update, August 2017
- “Department of Labor Directed to Examine Final Fiduciary Rule,” Thompson Hine Investment Management Update, February 2017
- “Mutual Funds Receive Temporary Relief to Auditor Independence Dilemma,” Thompson Hine Business Law Update, Fall 2016
- “FINRA Issues Report on Digital Investment Advice,” Thompson Hine Investment Management Update, April 2016
- “The DOL’s Final Fiduciary Rule Released: Investment Professional’s Perspective,” Thompson Hine Investment Management Update, April 2016
- “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
- “Cybersecurity Guidance Update for Funds & Advisers,” 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
- “OCIE Announces 2015 Examination Priorities,” Thompson Hine Investment Management Update, January 2015
- “Enhanced Governance and Risk Oversight Disclosure for Investment Companies,” Investment Lawyer, March 2010
- “Enhanced Governance and Risk Oversight Disclosure for Investment Companies,” Investment Management Update, January 2010
- “SEC Adopts Rule Regarding Principal Trades with Certain Clients,” Investment Management Update, January 2010
- “Enhanced Mutual Fund Disclosure: Practical Strategies for Drafting Prospectus Summaries and Using Summary Prospectuses,” The Investment Lawyer, November 2009
- Presenter, “Responding to a Cybersecurity Incident: Reporting and Disclosure Obligations,” Thompson Hine Investment Management Coffee Chat webinar series, March 2, 2022
- Presenter, “A Guide to Mutual Fund Insurance,” Thompson Hine’s Investment Management Coffee Chat Webinar Series, July 27, 2021
- Presenter, “New Adviser Advertisement Rule – Performance Advertising,” Thompson Hine’s Investment Management Coffee Chat Webinar Series, March 17, 2021
- Presenter, “Innovative Tools for Building a Diverse Board,” Thompson Hine’s Investment Management Coffee Chat Webinar Series, February 24, 2021
- Panelist, “Regulatory & Compliance Issues Confronting Hedge Funds Today,” Thompson Hine 9th Annual Seminar New York, October 17, 2013
- Listed in The Legal 500, 2018 to 2022
Professional Associations
- Central Ohio Compliance Association, Past President
- District of Columbia Bar Association
- Ohio State Bar Association
- Minnesota State Bar Association
- Greater Cincinnati Mutual Fund Association
Community Activities
- Dublin Food Pantry, Board of Trustees (2012-2015), Board Chair (2013-2014)
- CATCO, Board of Directors (2016-present)
Education
- American University Washington College of Law, J.D., 1987, cum laude
- Miami University, B.A., 1984, cum laude,
Phi Beta Kappa
Bar Admissions
- Ohio
- District of Columbia
- Maryland
- Minnesota
- SEC Proposes Standardized ESG Disclosure for Funds and Advisers,
Investment Management Update
, June 29, 2022 - Benchmark Litigation Recognizes Thompson Hine’s Litigation and Labor & Employment Practices and 24 Firm Litigators,
Thompson Hine LLP
, December 1, 2020 - SEC Grants No-Action Relief to Purchase of Debt Securities from Affiliated Mutual Fund,
COVID-19 Update
, March 27, 2020 - SEC Issues Annual Meeting Guidance Amid COVID-19 Concerns,
COVID-19 Update
, March 17, 2020