Charles F. Hertlein, Jr.

Biography

Chuck is a partner in the Corporate Department. He 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. 

Chuck 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)
    • Phi Beta Kappa
    • Political Science

Bar Admissions

  • Ohio

Court Admissions

  • Southern District of Ohio

Affiliations/Memberships

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

Distinctions

  • Selected as a 2012 BTI Client Service All-Star
  • Peer Review Rated AV in Martindale-Hubbell
  • Selected for the Ohio Super Lawyers® List
  • Listed in The Best Lawyers in America© for Corporate, Information Technology, Mergers & Acquisitions and Securitites Law 
  • “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
  • Recipient, Boy Scouts of America "Silver Beaver Award", 2001
  • Listed in “Who’s Who in Greater Cincinnati Technology”
  • Named the Best Lawyers'® 2013 Cincinnati Securities/Capital Markets Law "Lawyer of the Year"
  • Listed in Chambers USA®: America's Leading Lawyers for Business, Corporate/M&A
  • Named the Best Lawyers'® 2014 Cincinnati Corporate Compliance Law "Lawyer of the Year"
  • Named the Best Lawyers® 2015 Cincinnati Corporate Governance Law “Lawyer of the Year” and Cincinnati Securities Regulation “Lawyer of the Year”