John Baumgardner is engaged in a wide variety of corporate and securities matters and coordinates the Firm’s practice in the investment management area. He is also a member of the Firm’s Financial Institutions, Investment Management, Broker-Dealer and Commodities, Futures and Derivatives Groups.
Mr. Baumgardner has represented the issuer, independent trustees, adviser or underwriters of dozens of U.S. registered, publicly offered open- and closed-end investment companies, including those sponsored by Prudential Investments, Fidelity Fixed Income Funds, JPMorgan, Pioneer Investments, Brown Brothers Harriman and The Bank of New York. He also has worked extensively on private investment funds. Mr. Baumgardner’s practice also includes representation of various U.S. registered broker-dealers.
Mr. Baumgardner has been a frequent 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, and is a member, of the Committee on Investment Management Regulation of the Association.
Mr. Baumgardner has been named in The Best Lawyers in America for more than 10 years. He also has been recognized as a leading lawyer by numerous publications.
Recent Recognitions
- Chambers USA: America’s Leading Lawyers for Business (2009, 2008)
- The Legal 500, United States, Volume I (2008, 2007)
- PLC Which Lawyer? Yearbook (2008)
- PLC Global Counsel Mergers & Acquisitions Handbook (2001)
- Euromoney’s Guide to the World’s Leading Capital Markets Lawyers (2009, 2007, 2005)
- New York Super Lawyers (2009, 2007, 2006)