Focus Areas
- “Corporate Transparency Act Considerations for Private Investment Funds,” Thompson Hine Business Law Update, July 2024
- “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 Investment Management Coffee Chat Webinar Series, July 27, 2021
- Presenter, “New Adviser Advertisement Rule – Performance Advertising,” Thompson Hine Investment Management Coffee Chat Webinar Series, March 17, 2021
- Presenter, “Innovative Tools for Building a Diverse Board,” Thompson Hine 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
- Selected for inclusion in The Best Lawyers in America® 2023-2025 for Securities Regulation
- Listed in The Legal 500 in Investment Fund Formation and Managment, 2018 to 2023
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
- Business Law Update – July 2024,
Business Law Update Quarterly Newsletter
, July 9, 2024 - Corporate Transparency Act Considerations for Private Investment Funds,
Business Law Update
, July 9, 2024 - Thompson Hine Report Measures Perceptions of Columbus Economy, Business Landscape, Commercial Real Estate Market,
Underlying survey reveals lingering impact of pandemic and some economic concerns, while also highlighting gains and optimism for this market in transition
, February 15, 2024 - 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