Mutual Funds

Harvey E. Bines Partner (617) 338-2828 vCard
John L. Chilton Partner (202) 775-1213 vCard
Nicole M. Crum Partner (202) 775-1218 vCard
Christopher C. Curtis Partner (617) 338-2839 vCard
Arie Heijkoop Jr. Counsel (202) 775-1227 vCard
Marissa L. Henry Associate (617) 338-2862 vCard
John Hunt Partner (617) 338-2961 vCard
David M. Leahy Partner (202) 775-1201 vCard
David C. Mahaffey Partner (202) 775-1207 vCard
Eric D. Simanek Associate (202) 775-1232 vCard
Laura Steinberg Partner (617) 338-2867 vCard
Joel S. Telpner Partner (212) 660-3015 vCard
Matthew J. Van Wormer Partner (212) 660-3067 vCard
Jonathan L. Wiggins Associate (202) 775-1222 vCard

Sullivan & Worcester is recognized as a leader in the mutual funds area by the Legal 500 and U.S. News Best Lawyers. We represent mutual funds, closed-end funds and their independent directors in connection with the organization, offering and operation of funds, with over 20 different fund complexes totaling over $1.2 trillion in assets. Our attorneys serve as fund counsel to mutual fund groups such as the MetLife Funds, VALIC Retirement Funds, Huntington Funds and Williamsburg Investment Trust.  We also serve as independent legal counsel to the independent trustees of the John Hancock Funds, Virtus Mutual Funds and Brookfield Funds.

We provide comprehensive legal services for our fund clients, including: establishing and registering new funds; providing compliance advice; preparing and reviewing annual prospectus updates, proxy statements, and shareholder reports and advising on federal and Massachusetts tax issues.

In addition, we have handled many fund mergers. These have included both consolidations within fund groups as well as mergers of unaffiliated funds. We have conducted tax planning for more than one hundred mutual fund combinations and served as issuer counsel for many closed-end fund offerings.