Investment Management Bulletins
“FINRA Proposes Revised Broker-Dealer Pay-to-Play Rules,” Thompson Hine Investment Management Update, March 2016
“Second Circuit Broadens Dodd-Frank Whistleblower Interpretation,” Thompson Hine Investment Management Update, September 2015
“Proposed Exemption from Commodity Pool Operator Status for Certain Advisers to Registered Investment Companies,” Thompson Hine Investment Management Update, July 2014
“SEC Sanctions Broker-Dealer for Improper Soft Dollar Payments,” Thompson Hine Investment Management Update, March 2014
“CFTC Adopts Harmonization Rules for Registered Investment Companies,” Thompson Hine LLP (2013)
“Global Investment Performance Standards’ (“GIPS®”) Guidance Updated to Include Error Correction Standard,” Thompson Hine LLP (2010)
“Investors May Face Higher Tax Bill Following IRS Ruling,” Thompson HIne LLP (2008)
“Seventh Circuit Rejects Gartenberg Standard in Adviser Fee Case and Fashions New Test,” Thompson Hine LLP (2008)
“A Summary of Sound Practices for Hedge Fund Managers,” Thompson Hine LLP (2008)
“SEC Proposes Revisions to Regulation S-P and Expansion of Customer Privacy Requirements,” Thompson Hine LLP (2008)
Presenter, “SEC Rulemaking Roundup: What’s Next?” Thompson Hine Investment Management Coffee Chat, December 13, 2023
Presenter, “So, You’re Not a Statistician: Value at Risk for Trustees,” Thompson Hine Investment Management Coffee Chat Webinar Series, June 16, 2021
Panelist, Cohen Fund Audit Services Investment Conference, Cleveland (2013)
Panelist, Investment Industry (Dodd-Frank) Regulatory Developments, Thompson Hine Conference, Cincinnati (2012)
CALI Awards for Excellence in Taxation, Bankruptcy, Secured Transactions, Utility Regulation, Debtor-Creditor, and Banking Regulation
Selected for inclusion in Rising Stars by Ohio Super Lawyers magazine, 2017
Professional and Civic Plus icon Professional Associations
American Bar Association
Ohio Bar Association
Greater Cincinnati Mutual Fund Association
CFS Society of Columbus
Central Ohio Compliance Association
