John's practice focuses on the representation of both open-end and closed-end investment companies and their independent directors. He also advises investment advisers with respect to registration and compliance matters. John has substantial experience in the organization and offerings of closed-end investment companies and mergers of open-end investment companies. He also advises on Commodity Futures Trading Commission registration and compliance matters.
Bar & Court Admissions
- New York
- District of Columbia
Education
- J.D., The George Washington University Law School
- B.A., cum laude, Williams College
Awards & Honors
- The Legal 500 U.S. (2012-2013, 2016, 2018-2019)
-
Law360August 13, 2019
-
Mergers & AcquisitionsAugust 13, 2019
-
Sullivan Press ReleaseMay 30, 2019
-
Press ReleaseMay 30, 2018
-
Press ReleaseNovember 9, 2017
-
Press ReleaseJune 15, 2016
-
Press ReleaseJune 4, 2013
-
Press ReleaseJune 1, 2012
- Chapter 2, "Organizing a Mutual Fund," Mutual Funds: Law and Practice, Law Journal Press (co-author) (July 2011)
- Chapter 6, "Proxy Statements and Information Statements," Mutual Funds: Law and Practice, Law Journal Press (co-author) (July 2011)
- Chapter 11, "Variable Insurance Products," Mutual Funds: Law and Practice, Law Journal Press (co-author) (July 2011)
Seminars & Presentations
- Liquidity/Derivatives: The SEC's Pending Rules
Cincinnati Marriott RiverCenter, Covington, KY (September 29, 2016)