Find Lawyers in America for Mutual Funds Law

Mr. Alexander concentrates in banking, investment company, broker-dealer and investment adviser law. He formerly served as Primary Outside Counsel to the National Society of Compliance Professionals, an association of investment adviser and broker-dealer compliance officers. Mr. Alexander has had a varied financial practice that includes the organization of four national banks as limited purpose trust companies and the representation of numerous state and federally chartered banks on their tr...

Ms. Ambler has substantial experience in financial institution regulation under federal securities laws, including the USA PATRIOT Act and the Sarbanes-Oxley Act, and has testified as an expert witness in her field. She focuses her practice on mutual fund governance, compliance activities of mutual funds, private funds and variable insurance product issuers and distributors, and activities of related service providers.

Mr. Amorosi is a partner in K&L Gates' Investment Management Group and is based in the firm's Washington, DC office. His practice focuses on investment management and securities law matters involving investment advisers, mutual funds, insurance companies and private investment vehicles, and related issues affecting broker-dealers, administrators, transfer agents and custodians. Mr. Amorosi has assisted mutual fund and investment adviser clients with developing a variety of investment prod...

John's practice focuses on the representation of mutual funds, exchange-traded funds (ETFs), closed-end funds and business development companies (BDCs) and their independent board members. He advises clients on a range of matters, including the formation, operation, merger and liquidation of mutual funds, closed-end funds, ETFs, and BDCs. John has extensive experience working on transactions involving registered funds, such as adviser acquisitions, fund adoptions and product launches.

Stuart Coleman has counseled registered funds and their independent board members and market-leading investment advisers for more than 35 years, through cycles of industry expansion and innovation and in times of economic and regulatory crisis. His clients include funds and/or boards in more than 30 well-known complexes (including those with registered hedge and private equity funds, ETFs and BDCs), with assets of almost 9% of all the money invested in investment companies. Stuart also has re...

Nicole is a partner in the Investment Management Group and the Chair of Sullivan's Corporate Governance & Board Advisory Practice Group. Nicole serves as Co-Chair of the firm's Lateral Partner Hiring Committee. Nicole's practice focuses on the representation of boards and board committees, including independent directors, as well as a broad spectrum of companies, such as investment companies, investment advisers and broker-dealers. Nicole regularly advises on all aspects of governance and...

Carl Frischling, Chair of the Financial Services Group, advises financial services firms on financial services law, financial services regulation, investment company law and the law governing mutual funds. Mr. Frischling counsels clients on all the legal facets of their business, including acquisitions and sales of investment managers and investment management companies. A pioneer in the field of bank-related mutual funds, he guides clients in developing and structuring comprehensive mutual f...

Stacy L. Fuller is a member of the firm’s Investment Management practice group. Her focus is on serving the needs of registered investment companies and, in particular, exchange-traded funds (ETFs) and funds of funds. Ms. Fuller joined the firm in 2007 from the U.S. Securities and Exchange Commission (SEC), where she had been a branch chief in the Division of Investment Management (Exemptive Applications) and an attorney in the Office of General Counsel (Office of Legal Policy). At the ...

Robert M. Kurucza is a partner in Seward & Kissel’s Investment Management practice. He is recognized as one of the country’s leading legal advisors in the financial services industry. He has represented major financial services companies, including banks, asset management firms, mutual fund complexes, trust companies, private wealth management firms and securities firms, in connection with a variety of regulatory matters and transactions, as well as litigation and compliance i...

David is co-leader of the Investment Management Group. His practice consists of counseling independent directors of open-end funds, closed-end funds, exchange-traded funds and business development companies, as well as the funds themselves and their investment advisers on matters relating to the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933 and the Securities Exchange Act of 1934.

David is the managing partner of the Washington, D.C. office, as well as the co-leader of the Investment Management Group. Prior to joining Sullivan & Worcester, David was Special Counsel in the Washington, D.C. office of Gibson, Dunn & Crutcher. He previously served as Assistant General Counsel for Legislation and Investment Company and Adviser Regulation at the Securities and Exchange Commission and as Counsel to SEC Commissioner Aulana Peters.

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Chris Palmer is chair of the Business Law Department in Goodwin Procter’s Washington, D.C. office, and is a member of the Financial Services Group. Chris focuses his practice on securities, investment management and insurance matters. Chris represents mutual funds, investment advisers, insurance companies and broker-dealers on the development, regulatory approval, sale and administration of a variety of investment products, including mutual funds and variable and fixed life insurance and annu...

Dom has over 30 years’ experience as a trusted adviser to registered investment companies and their boards regarding all aspects of Investment Company Act and Investment Advisers Act regulation. He counsels all types of investment companies, including mutual funds, closed-end funds, exchange-traded funds, and business development companies. He also dedicates a substantial portion of his practice to advising independent trustees and directors of mutual funds, exchange traded funds and va...

Nicole M. Runyan is an investment funds partner in the New York office of Kirkland & Ellis LLP, and heads the Firm’s registered funds practice. Nicole has nearly two decades of experience advising clients on the formation, registration, operation and oversight of nearly every type of registered fund as well as business development companies (BDCs).Nicole has a broad background representing mutual funds, ETFs, listed closed-end funds and other traditional registered funds investing a...

Pat Simpson is a partner in Perkins Coie's Business Group. He has more than 40 years of experience in the financing of new ventures, mergers and acquisitions, capital formation, corporate governance and state and federal securities laws compliance. He is the former Chair of the Oregon Securities Law Section and a frequent speaker on corporate governance and related matters.

Mr. Smith concentrates his practice on investment management and mutual fund law. He serves as counsel to registered investment companies and their boards of directors, with a particular focus on bank-affiliated investment companies. In addition to providing regulatory and compliance counseling on routine and complex operational issues, he advises registered investment company and investment adviser clients on the impact of the rapidly changing regulatory landscape. His experience also extend...

David Stephens advises clients in matters arising under the Investment Company Act. His practice is focused on supporting legal needs of virtually all types of investment companies, including registered and unregistered, open-end and closed-end, ETFs and master-feeder funds, as well as funding vehicles for insurance products.

Bob Wittie is a partner in the K&L Gates finance and investment management practices, concentrating on securities-based financial transactions and the regulation of financial institutions. He represents financial services clients in connection with a wide range of matters, including secured credit, swaps, repurchase agreements and other derivatives transactions, equity and structured finance, regulatory compliance, documentation issues, electronic commerce, and legislative matters.

Mr. Zutz is a partner in the Washington, D.C. office of K&L Gates who has more than 30 years of experience as a securities lawyer. His practice focuses on the representation of investment companies, their independent directors and trustees, investment advisers and broker-dealers. Prior to joining K&L Gates in 1983, he was a member of the Securities and Exchange Commission staff for over five years, including service in the Division of Investment Management and as Legal Counsel to a Co...

Arthur Zwickel is a partner in the Investment Funds & Private Capital practice at Paul Hastings and practices in the area of securities, corporate, and investment management law. Mr. Zwickel’s practice focuses on structuring and organizing both registered and private investment funds, including mutual funds, closed-end funds, hedge funds, private equity funds, hybrid funds, and fund-of-funds. He also counsels investment advisers and broker-dealers on federal and state regulatory iss...