Focus Areas
- “OCIE Private Fund Adviser Examinations Reveal Common Compliance Issues,” Thompson Hine Investment Management Update, June 2020
- “SEC Provides Guidance on Disclosures of Registered Investment Advisers Using Paycheck Protection Program Loans,” Thompson Hine COVID-19 Update, May 2020
- “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
- “SEC Issues Risk Alert on Best Execution Practices,” Thompson Hine Investment Management Update, July 2018
- “OCIE Issues Risk Alert Regarding Advisory Fee Violations,” Thompson Hine Investment Management Update, April 2018
- Presenter, “Investment Company Derivatives Rule,” Central Ohio Compliance Association, October 27, 2021
- Presenter, “ERISA’s Five-Part Investment Advice Test – The DOL Changes Course,” Thompson Hine Investment Management Coffee Chat Webinar Series, April 21, 2021
- Panelist, “It’s A New Day: Conflicts Part II,” Combating Common Compliance Concerns: Webinar Series for Private Funds, August 12, 2020
- Selected to the Ohio Rising Stars list, 2023, 2024
Professional Associations
- Greater Cincinnati Mutual Fund Association
Professional Activities
- Adjunct professor and coach, ABA Client Counseling teams, NKU Chase College of Law
- Trustee, Greater Cincinnati Mutual Fund Association, 2016 – present
- Chartered Alternative Investment Analyst, 2009 – present
Education
- Northern Kentucky University, J.D., 2017, summa cum laude,
associate editor, Northern Kentucky Law Review
- Ohio University, M.F.E., 2009
- University of Cincinnati, B.B.A., 2004, cum laude
Bar Admissions
- Ohio
Select a filter
- OCIE Private Fund Adviser Examinations Reveal Common Compliance Issues,
Investment Management Update
, June 26, 2020 - SEC Provides Guidance on Disclosures of Registered Investment Advisers Using Paycheck Protection Program Loans,
COVID-19 Update
, May 5, 2020 - FINRA Guidance Permits Pre-Inception Index Performance Data in Fund Communications with Institutional Investors,
Investment Management Update
, February 25, 2019 - SEC Proposes New Rule for Fund of Funds Arrangements,
Investment Management Update
, January 7, 2019