FacultyFaculty/Author Profile
Lori A. Martin

Lori A. Martin

WilmerHale LLP

New York, NY, USA


Lori A. Martin is partner in the Securities and Litigation/Controversy departments of WilmerHale, where she is resident in the New York office. She handles regulatory proceedings and litigation on behalf of investment advisers, open and closed-end investment companies, hedge funds, and broker dealers offering investment advisory services. She was selected as the “Mutual Funds Law Lawyer of the Year” in the New York area by The Best Lawyers in America® 2014. Prior to joining WilmerHale, she was First Vice President and Assistant General Counsel of Merrill Lynch Investment Managers.

Her publications include: “Litigation Under the Investment Company Act of 1940,” Vol. 2, Chapter 26 Mutual Fund Regulation (Practicing Law Institute, 2017) (Clifford E. Kirsch, ed.); “Supreme Court Endorses Gartenberg, But It's Not the Same Old Standard,” WilmerHale Client Alert (April 5, 2010) (with Matthew A. Chambers); “Enforcement Trends and Themes,” Investment Management Institute (Practicing Law Institute, 2007-2012); “State Regulators and the Mutual Fund Industry,” 39 The Review o/Securities & Commodities Regulation 219 (Nov. 15, 2006) (with Cristina Alger); and “Emails and the Recordkeeping Obligations of Investment Advisers,” 12 The Investment Lawyer 16 (February 2005).

Ms. Martin's recent speeches include: “Key Legal and Regulatory Issues:  Asset Management,” panel presentation at the SIFMA Compliance & Legal Regional Seminar (Boston, Massachusetts) (June 7, 2017); “Excessive Fee Litigation,” panel presentation at the Basics of Mutual Funds and Other Registered Investment Companies 2017 conference (New York, New York) (March 24, 2017); “Valuation Issues, SEC Examinations & Enforcement Actions,” panel presentation on a webinar co-sponsored by Deloitte & WilmerHale (June 19, 2013); “SEC Focus on Private Fund Advisers,” panel presentation at the Global Capital Markets & the U.S. Securities Laws 2013 conference, sponsored by the Practicing Law Institute (New York, New York) (June 5, 2013); “Current Legal and Ethical Issues for Counsel in Investment Management Regulation," panel presentation for the Association of the Bar of the City of New York (New York, New York) (May 14, 2013)

Ms. Martin graduated with honors from the University of Chicago School of Law in 1988, where she was a member of the University of Chicago Law Review. She graduated with honors from Wellesley College in 1985.

Lori A. Martin is associated with the following items:
Web Segment  Web Segment Investment Management: Enforcement and Litigation Trends - Investment Management Institute 2018, Wednesday, May 02, 2018
Fund Litigation - Basics of Mutual Funds and Other Registered Investment Companies 2018, Tuesday, May 15, 2018
MP3 Audio  MP3 Audio Investment Management: Enforcement and Litigation Trends - Investment Management: Enforcement and Litigation Trends, Wednesday, May 02, 2018
Fund Litigation - Fund Litigation, Tuesday, May 15, 2018
Transcripts  Transcripts Investment Management: Enforcement and Litigation Trends - Investment Management: Enforcement and Litigation Trends, Wednesday, May 02, 2018
Fund Litigation - Fund Litigation, Tuesday, May 15, 2018
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Investment Management: Enforcement and Litigation Trends - Investment Management: Enforcement and Litigation Trends, Wednesday, May 02, 2018
Fund Litigation - Fund Litigation, Tuesday, May 15, 2018
On-Demand Web Programs  On-Demand Web Programs Investment Management Institute 2018, Monday, May 07, 2018, New York, NY
Basics of Mutual Funds and Other Registered Investment Companies 2018, Monday, May 21, 2018, New York, NY
CHB Chapters  CHB Chapters Excessive Fee Litigation and The Investment Company Act of 1940 - Basics of Mutual Funds and Other Registered Investment Companies 2018, Monday, May 14, 2018
Treatise Chapters  Treatise Chapters Litigation Under the Investment Company Act of 1940; and Appendix 43A - Mutual Funds and Exchange Traded Funds Regulation (Third Edition), Friday, July 20, 2018
Live Seminar  Live Seminar Investment Management Institute 2019, Thursday, March 21, 2019, New York, NY
Live Webcast  Live Webcast Investment Management Institute 2019, Thursday, March 21, 2019, New York, NY
PLI Grpcast-Live Web  PLI Grpcast-Live Web Investment Management Institute 2019, Thursday, March 21, 2019, Cleveland, OH
Investment Management Institute 2019, Thursday, March 21, 2019, Pittsburgh, PA
Investment Management Institute 2019, Thursday, March 21, 2019, Cincinnati, OH
Investment Management Institute 2019, Thursday, March 21, 2019, New Brunswick , NJ
Investment Management Institute 2019, Thursday, March 21, 2019, Philadelphia, PA
Investment Management Institute 2019, Thursday, March 21, 2019, Mechanicsburg, PA
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