- Member, American Bar Association
- Former chair, Legal Opinions Committee
- Former chair, Audit Responses Committee
- Former chair, Federal Regulation of Securities Committee; interacting with the SEC, other government officials, and stock exchanges
- Special adviser, Task Force on Corporate Responsibility
- Special adviser, Task Force on Implementation of Section 307 of the Sarbanes-Oxley Act
- Member, Task Force on the Attorney-Client Privilege
- Special adviser and reporter, Task Force on SEC Attorney Conduct Rules
- Member, Boston Bar Association
- Former co-chair, Task Force on Revision of the Massachusetts Business Corporation Law
- Former co-chair, Business Law Section and Corporation Law Committee
- Member, TriBar Opinion Committee; authored “Remedies Opinion Report” and “Preferred Stock Opinion Report”
- Independent consultant and monitor, city of San Diego, overseeing its compliance with SEC enforcement order (2007-2010)
- Former co-chair, Practicing Law Institute Annual Institute on Securities Regulation
Education
- Harvard Law School, LL.B., magna cum laude, 1962
- Columbia University, B.A., 1959
Bar Admissions
- Massachusetts
- Co-author, “Conviction in Insider Trading Case Brings New Attention to 10b5-1 Plans,” Troutman Pepper Locke, June 27, 2025.
- Co-author, “Recent SEC Corp/Fin Interpretations of Interest,” Troutman Pepper Locke, March 28, 2025.
- Author, “Public Company Option Grants in 2024,” Locke Lord, May 20, 2024.
- Author, “Public Companies Should Pay Attention to the Corporate Transparency Act,” Locke Lord, January 25, 2024.
- Author, “Tighter SEC Cybersecurity Incident Disclosure Requirements Go into Effect Today,” Locke Lord, December 18, 2023.
- Author, “There Is a Big Difference Between ‘Void’ and ‘Voidable’,” Locke Lord QuickStudy, November 21, 2023.
- Author, “Delaware Court of Chancery Approves Differential Voting Within Same Class,” Locke Lord QuickStudy, November 16, 2023.
- Author, “M&A Broker Exemption Update,” Locke Lord, May 23, 2023.
- Author, “SEC Adopts Revised Stock Buyback Disclosure Requirements,” Locke Lord, May 5, 2023.
- Author, “Short Extension of Clawback Policy Deadline Suggests Listed Companies Will Need to Adopt Policies by Early August,” Locke Lord, April 27, 2023.
- Author, “Updating Clawback Policies,” Locke Lord, April 5, 2023.
- Author, “Unexpected Rescue: Observations on the Silicon Valley Bank Closure and Ongoing Market Disruptions,” Locke Lord QuickStudy, March 16, 2023.
- Author, “Revisiting SEC Guidance on Non-GAAP Reporting,” Locke Lord, February 15, 2023
- Author, “Defective Corporate Action by Delaware Corporations with Multiple Classes of Common Stock,” Locke Lord, February 14, 2023
- Author, “Electronic Form 144 Filings: Reminder of April 13th Deadline,” Locke Lord, February 13, 2023.
- Author, “SEC Turns Workplace Misconduct into Disclosure Controls Violation; Clarifies Protection for Whistleblowers,” Locke Lord, February 7, 2023.
- Author, “Annual SEC Reporting – Two Points to Note,” Locke Lord, February 2, 2023.
- Author, “SEC Adopts New Restrictions on 10b5-1 Plans, Related Disclosure Requirements and Section 16 Filing Changes,” Locke Lord, December 15, 2022
- Author, “UK Capital Markets Developments: The Edinburgh Reforms,” Locke Lord QuickStudy, December 12, 2022.
- Author, “Lessons From SEC Enforcement Actions Involving Corporate Lawyers,” Locke Lord, November 21, 2022.
- Author, “Delaware Now Permits Exculpation of Corporate Officers,” Locke Lord, August 4, 2022.
- Author, “Integration of Private and Public Offerings 2022,” Locke Lord, March 31, 2022.
- Author, “SEC Proposes Climate-Related Disclosure Rules – What You Need to Know,” Locke Lord QuickStudy, March 24, 2022.
- Author, “SEC Proposes Climate-Related Disclosure Requirements,” Locke Lord, March 24, 2022.
- Author, “SEC Proposes Tighter Cybersecurity Disclosure Requirements,” Locke Lord, March 14, 2022.
- Author, “SEC Proposes to Shorten Schedule 13D/G Filing Deadlines and Count Equity Derivatives,” Locke Lord, February 17, 2022.
- Author, “SPACs and Legend Removal Opinions,” Business Law Today, January 24, 2022
- Author, “Delaware Court Addresses De-SPAC Merger Claims,” Locke Lord, January 12, 2022.
- Author, “SPACs and the Implications for D&O Insurance,” Locke Lord QuickStudy, December 21, 2021.
- Author, “Delaware Court Provides Guidance on Director Liability for Distributions,” Locke Lord, December 9, 2021.
- Author, “Delaware Clarifies That Statutory Appraisal Rights Can Be Waived,” Locke Lord, October 14, 2021.
- Author, “Delaware Clarifies Its Rules Governing Stockholder Derivative Actions,” Locke Lord, October 13, 2021.
- Author, “Nasdaq Introduces Board Diversity Requirements,” Locke Lord, August 17, 2021.
- Author, “Charges Against Nikola Founder Provide Reminder to Use Caution in All Public Statements and Offer Governance Lessons,” Locke Lord, August 3, 2021.
- Author, “Delaware Court of Chancery Finds That Crossing the ‘Fine Line Between Glaringly Egregious Conduct and an Aggressive Litigation Position’ Costs Gilead $1.76 Million in Attorneys’ Fees,” Locke Lord QuickStudy, July 29, 2021.
- Author, “SEC Reminds Companies That Earnings Management Can Have MD&A Consequences,” Locke Lord, May 5, 2021.
- Author, “United States District Court Accepts the ‘Valid When Made’ Doctrine,” Locke Lord QuickStudy, May 3, 2021.
- Author, “SEC Provides Reminder that Form 12b-25 is a Disclosure Document,” Locke Lord, April 30, 2021.
- Author, “Continued SEC Focus on SPACs,” Locke Lord, April 1, 2021.
- Author, “Delaware Court of Chancery Reminds That Rights Plans Have Limits,” Locke Lord QuickStudy, March 11, 2021.
- Author, “Delaware Supreme Court Rules Stockholders Are Entitled to Books and Records Based on ‘Investigatory Purpose’ Without Stating Objectives of Investigation,” Locke Lord QuickStudy, January 25, 2021.
- Co-author, “Corporate Director’s Guidebook, Seventh Edition,” ABA Committee on Corporate Laws, 2020.