Education
- Rutgers Law School, J.D., 1994
- Saint Joseph’s University, B.S., 1991
Bar Admissions
- New Jersey
- Pennsylvania
- District of Columbia
- Presenter, “The Return of TALF Fund Opportunities via COVID-19 Relief,” Financial Executives Alliance Webinar, April 30, 2020.
- Presenter, “An Overview of the SEC’s Recently Adopted Exchange-Traded Funds (ETF) Rule,” Financial Executives Alliance Webinar, November 15, 2019.
- Panelist, “Funds and Leverage,” Investment Management Roundtable for West LegalEdCenter, October 31, 2016.
- Panelist, “Investment Management and Hedge Funds: What’s Happening Now?,” October 18, 2016.
- Co-author, “FUNDamentals Market Update – What’s Happening Now and What’s Next?,” May 2025.
- Podcast, “Exploring the Administration’s Regulatory Impact on Private Equity,” PE Pathways, April 22, 2025.
- Co-author, “Investment Management Update – Q3 2024,” Troutman Pepper, November 25, 2024.
- Co-author, “Investment Management Update – Q2 2024,” Troutman Pepper, October 4, 2024.
- Co-author, “SEC Charges Broker-Dealer and Two Affiliated Investment Advisers With Violating Whistleblower Protection Rule,” Troutman Pepper, September 9, 2024.
- Co-author, “SEC Approves Spot Ether ETFs,” Troutman Pepper, July 24, 2024.
- Co-author, “Investment Management Update – Q1 2024,” Troutman Pepper, May 10, 2024.
- Co-author, “Investment Management Update – Q4 2023,” Troutman Pepper, February 1, 2024.
- Co-author, “SEC Releases New Guidance on Tailored Shareholder Reports,” Troutman Pepper, January 24, 2024.
- Co-author, “The SEC’s New Marketing Rule – Practically Speaking: Hypothetical Performance,” Troutman Pepper, October 31, 2022.
- Co-author, “The SEC’s New Marketing Rule – Practically Speaking: Performance Advertising/Track Records,” Troutman Pepper, October 31, 2022.
- Co-author, “The SEC’s New Marketing Rule – Practically Speaking: Testimonials and Endorsements,” Troutman Pepper, October 31, 2022.
- Co-author, “The SEC’s New Marketing Rule – Practically Speaking: General Prohibitions,” Troutman Pepper, October 31, 2022.
- Co-author, “The SEC’s New Marketing Rule – Practically Speaking: What Is an Advertisement?” Troutman Pepper, October 31, 2022.
- Co-author, “SEC Adopts Modernized Framework for Open-End Fund Shareholder Reports and Disclosures,” Troutman Pepper, October 27, 2022.
- Co-author, “Investment Management Update – June 2022,” Troutman Pepper, June 2022.
- Co-author, “SEC Proposes Fund Names Rule Amendments and Rules Governing ESG Investment Disclosures,” Troutman Pepper, June 8, 2022.
- Co-author, “Investment Management Update – August 2021,” Troutman Pepper, August 2021.
- Co-author, “SEC Adopts Modernized Framework for Fund Valuation Practices,” Temple 10-Q, Temple’s Business Law Magazine, February 22, 2021.
- Co-author, “SEC Adopts Modernized Framework for Fund Valuation Practices,” Troutman Pepper, December 11, 2020.
- Co-author, “Investment Management Update,” Quarterly Regulatory Update, September 2020.
- Co-author, “SEC Proposes to Improve the Retail Investor Experience Through Modernized Fund Shareholder Reports and Disclosures,” Troutman Pepper, August 10, 2020.
- Co-author, “SEC Adopts Amendments to Provide Investors More Information on Proxy Voting Advice,” Troutman Pepper, July 27, 2020.
- Co-author, “Investment Management Update,” Quarterly Regulatory Update, June 2020.
- Co-author, “SEC Grants Additional COVID-19 Relief to Business Development Companies,” Client Alert, April 14, 2020.
- Co-author, “SEC Modernizes Securities Offering Rules for BDCs and Registered Closed-End Funds,” Client Alert, April 10, 2020.
- Co-author, “SEC Allows Affiliated Purchases of Debt Securities From Registered Open-End Investment Companies,” Client Alert, March 30, 2020.
- Co-author, “SEC Extends Relief for Funds and Investment Advisers Amid COVID-19 Pandemic,” Client Alert, March 26, 2020.
- Co-author, “SEC Grants Relief to Funds and Advisers Related to COVID-19 Outbreak,” Client Alert, March 16, 2020.
- Co-author, “SEC OCIE Issues 2020 Examination Priorities,” Client Alert, January 30, 2020.
- Co-author, “Investment Management Update,” Quarterly Regulatory Update, October 2019.
- Co-author, “SEC Adopts ETF Rule,” Client Alert, October 2, 2019.
- Co-author, “Investment Management Update,” Quarterly Regulatory Update, July 2019.
- Co-author, “Fifth Circuit Vacates Fiduciary Rule, Creating Circuit Split; Headed to Supreme Court?,” Client Alert, March 19, 2018.
- Co-author, “SEC Charges Former Private Equity Firm Partner with Defrauding Clients,” Client Alert, October 27, 2017.
- Co-author, “Senate Strikes Down CFPB Arbitration Rule,” Client Alert, October 25, 2017.
- Co-author, “SEC Modernization in Plain English: Decoding the Regulation,” Client Alert, March 2017.
- Co-author, “SEC Applies Advisers Act Provisions to Nonadvisor Fund Service Providers,” Client Alert, June 28, 2016.
- Co-author, “SEC Proposes New Rule Governing Funds’ Use of Derivatives,” Client Alert, December 15, 2015.
- Co-author, “SEC Releases First Cybersecurity Enforcement Action for Failure to Protect Client Data,” Client Alert, September 23, 2015.
- Co-author, “The SEC Releases the First Distribution-in-Guise Enforcement Action Concerning Fund Assets Used to Pay for Marketing and Distribution Fees,” Client Alert, September 22, 2015.
- Co-author, “CFTC Adopts Final Harmonization Rules for Registered Investment Companies Dually Registered as Commodity Pool Operators,” Client Alert, August 13, 2013.
- Co-author, “U.S. District Court Rebuffs ICI Challenge to CFTC Rule 4.5 Amendments,” Client Alert, December 13, 2012.
- Co-author, “FSOC Recommends and Seeks Comment on Money Market Mutual Fund Reform,” Client Alert, November 16, 2012.
- Co-author, “SEC Settles with Adviser for Over $3.3 Million in Connection with Improper Sub-Advisory Fee Arrangement,” Client Alert, November 23, 2011.
- Co-author, “Federal Court Reaffirms Gartenberg Excessive Fee Framework,” Client Alert, December 12, 2010.
- Co-author, “Supreme Court Confirms Standard for Assessing Investment Adviser Fees,” Client Alert, March 30, 2010.
- Co-author, “SEC Adopts Money Market Fund Reforms,” Client Alert, January 28, 2010.
- Co-author, “Once More Unto the Breach: The Interplay Between Federal and State Data Security Regulation,” The Investment Lawyer, Volume 16, Number 4, pages 21-26, April 2009.
- Co-author, “Federal Reserve Board Expands Access to Money Market Investor Funding Facility to Local Government Investment Pools,” Client Alert, January 9, 2009.
- Quoted, “Board Raises Powered Six Percent Higher Last Year,” BoardIQ, July 2, 2019.