John E Baumgardner

Practice Areas

Capital Markets

Corporate Governance

Private Equity

Financial Services

Broker-Dealer

Investment Management

Career

John Baumgardner has been and remains engaged in a wide variety of corporate and securities matters, primarily in the investment management area. He is also a member of the Firm’s Financial Services, Investment Management, Broker-Dealer and Commodities, Futures and Derivatives Groups.

Mr. Baumgardner has represented issuers, independent trustees, advisers and underwriters of dozens of U.S. registered, publicly offered open- and closed-end investment companies, and currently concentrates on independent trustee engagements. He has represented the Investment Company Institute, the principal trade association of the mutual funds industry, on some of its most important projects.

Mr. Baumgardner has been a speaker or panelist at conferences sponsored by the Practising Law Institute, Investment Company Institute and the New York City Bar Association. He was former chair of the Committee on Investment Management Regulation of the Association and is the Chair of the Association’s Committee on the Investment of Funds.

Mr. Baumgardner was recently named “Independent Counsel of the Year” at the 2019 Mutual Fund Industry and ETF Awards. He has been named in The Best Lawyers in America for more than 20 years and is regularly recognized as a leading lawyer by numerous publications.

Professional Memberships

ABA; NYSBA; Chair, NYCBA’s Investment Committee; Member, Boards of Advisors, Yale School of Music and National Opera Center; Director, OperaAmerica; Chairman, The Lakeville Journal Company.

Personal

Columbia (JD, 1975); Princeton (AB, summa cum laude, 1973).