Charles F. Hertlein, Jr.

Biography

Chuck primarily practices in corporate, securities and mergers and acquisitions, both in transactional matters, such as securities offerings and business acquisitions, and in compliance and general counseling, including public company SEC compliance, corporate governance and business formations. His experience includes a number of transnational transactions and extensive SEC compliance counseling since the adoption of Sarbanes-Oxley. 

He also advises a number of registered investment advisers under the Investment Advisers Act of 1940. The Act, and related regulations administered by the SEC, has become increasingly complex in recent years, particularly with the passage of the Dodd-Frank Act in 2010, and the role of counsel in the compliance process has increased dramatically. He also has experience counseling both investment advisers and non-advisers regarding hedge fund formations and with Dodd Frank, SEC regulation.

Education

  • University of Michigan Law School  (J.D., cum laude, 1980)
  • University of Cincinnati  (B.A., summa cum laude, 1977)
    • Political Science
    • Phi Beta Kappa

Bar Admissions

  • Ohio

Court Admissions

  • U.S. District Court for the Southern District of Ohio

Affiliations/Memberships

  • Dan Beard Council, Boy Scouts of America 
    • Board of Directors (1997 - present) 
    • Executive Committee (2001 - present) 
    • Finance Committee (2003 - present) 
    • Vice president (2006 - present)
    • Steering Committee for “Family Jamboree," Major Council Fundraiser (1990 - 1991)
  • Neighborhood Network Development Corporation, trustee (1991 - 2005)
  • TheatreIV/ArtReach Children's Theatre, director (2000 - 2006)
  • North Fairmount Community Center 
    • Trustee (1984 to present) 
    • Treasurer (2002 - present)
  • Memorial Community Center 
    • Trustee (1988 - 1997)
    • Treasurer (1991 - 19940 
    • President (1994 - 1997)
  • Greater Cincinnati Foundation, Affordable Home Ownership Task Force (1993 - 1998)
  • Cincinnati United Way and Community Chest, Agency Financial Services Committee (1983 - 1988)
  • St. Ignatius Parish Council (1993–1996), president (1994 - 1995)
  • St. Ignatius Parish Education Commission (1984 - 1987), chairman (1985 - 1986)
  • Art Academy of Cincinnati
    • Business Campaign (1988 - 1991) 
    • Century Campaign (1992)
  • Boy Scout Troop 850, committee chairman/adult leader (1990 - present)
  • Annual United Way Campaigns, account manager (1980 - 1985)
  • University of Cincinnati Chapter, Tau Kappa Epsilon Fraternity, trustee (1980 - present)

Distinctions

  • BTI Client Service All-Star (2012)
  • Peer Review Rated AV in Martindale-Hubbell
  • Ohio Super Lawyers® 
  • Best Lawyers® 
    • Corporate, Information Technology, Mergers & Acquisitions and Securities Law 
    • "Lawyer of the Year" in Cincinnati - Securities/Capital Markets Law (2013)
    • "Lawyer of the Year" ​​​​​​in Cincinnati - Corporate Compliance Law (2014)
    • "Lawyer of the Year" in Cincinnati - Corporate Governance Law
    • "Lawyer of the Year" in Cincinnati - Securities Regulation (2015)
  • Partners in Progress Award of North Fairmount Community Center (1995)
  • Outstanding Board Member of the Year Award of the Neighborhood Development Corporation Association of Cincinnati (1996)
  • Nominee, JC Penney Golden Rule Award (1997)
  • Boy Scouts of America Silver Beaver Award (2001)
  • Who’s Who in Greater Cincinnati Technology
  • Chambers USA®: America's Leading Lawyers for Business, Corporate/M&A