Lori Cramer Email & Phone Number

Prepare mutual fund disclosure filings with the SEC. Prepare mutual fund service provider contracts.

Columbus, Ohio Area

• Provide business management and governance services to investment adviser and mutual fund clients.
• Offer guidance to clients with respect to securities regulations and industry best practices.
• Coordinate oversight, communication and reporting among service providers, including investment adviser, administrator, accountants, lawyers, and others.
• Maintain annual board calendar, prepare board materials, record minutes at board meetings, and coordinate communication with the board for mutual fund clients.
• Coordinate new product registration statements, subsequent updates, and other regulatory filings based on annual regulatory calendar.
• Coordinate fund agreements and other legal documents and maintain fund records.

• Researched and analyzed legal issues regarding the sale of insurance products and investment advisory and related fiduciary issues under applicable laws, regulations, and departmental guidance.
• Drafted legal opinions, agreements, amendments, termination notices, and correspondence for investment advisory services and for the distribution of insurance products.
• Reviewed and updated disclosure documents for advisory programs and unregistered investment products.
• Monitored pending and adopted regulations, case law, and SEC enforcement actions impacting NF business lines.
• Recorded minutes at business committee meetings.
• Conducted research for and provided support to NF large scale projects including: banking, life insurance, annuity suitability, gifts to public officials, and multi-state unclaimed property audit.

• Created business entity documents and maintained minute books for 140+ entities.
• Drafted loan documents and closing bibles for a $26 billion bank and for the SBA.
• Prepared SEC forms for reporting of sale of securities.

• Prepared board materials for 7 registered investment companies and recorded minutes at board of directors’ meetings in 3 states.
• Created and filed registration and proxy statements with the SEC for 6 companies.
• Played a key leadership role in the development/coordination of client services.

Columbus, Ohio Area

• Assisted bankruptcy counsel with Chapter 11 proceedings for a public corporation.
• Drafted pleadings and corporate documents, including distribution agreements.

Columbus, Ohio

• Organized and monitored data rooms and subsequently prepared schedules to purchase agreements and assignments of contractual interests for dispositions.
• Drafted corporate resolutions and maintained minute books for 10 companies.

Columbus, Ohio

Corporate/Real Estate Paralegal

Columbus, Ohio

Litigation Paralegal

Paralegal Certificate

Bachelor Of Science In Business Administration, Marketing