Ernest V. Klein

Retired Partner

Klein, Ernest V.

Ernest Klein spent over thirty years concentrating on the mutual funds industry. He retired from active practice in 2003. 

In his practice, Mr. Klein was involved in the organization of many mutual funds and other pooled investment vehicles, including a wide variety of equity and income funds, open and closed-end funds, exchange funds, international funds, global funds, offshore funds, and the first tax-exempt money market fund.

Publications & News


December 9, 2010

Firm Helps Nonprofit Teach Kids Tennis, Literacy and Life Skills

November 14, 2003

Special Notice to Hedge Fund Clients: SEC Approves Amended “Hot Issue” Rule

More than five years after the NASD proposed new NASD Rule 2790 governing purchases and sales of “hot issue” offerings, the SEC approved Rule 2790 on an accelerated basis by issuing a simultaneous Notice of Filing and Order Granting Accelerated Approval of Amendment No. 5 to Rule 2790 in a release dated October 24, 2003.

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JD, Georgetown University Law Center, 1961

AB, Brown University, 1954

Bar Admissions


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