Lori Martin is an experienced litigation and enforcement attorney whose practice focuses on litigation and regulatory proceedings involving investment advisers, open and closed-end investment companies, hedge funds, and broker dealers offering investment advisory services. She was selected as the “Mutual Funds Law Lawyer of the Year” in the New York area by the Best Lawyers in America® 2014 and 2020.

In various editions of Chambers USA, clients praise Ms. Martin as a "very smart and knowledgeable" and "incredibly hard-working and smart" practitioner, "an excellent negotiator" and "a practical and intelligent adviser," and she is "held in high regard for her expertise in handling complex securities litigation related to mutual funds." The Legal 500 United States describes her as "an unparalleled star, being very smart, conscientious and experienced with both commercial and regulatory litigation."

Professional Activities

Ms. Martin is a frequent participant in industry conferences regarding the investment advisory industry and complex litigation. She has authored numerous publications on securities litigation. She is a member of the following committees and bar associations:  

• Member, The American Law Institute (ALI) Council
• Member, Investment Management Regulation Committee, Association of the Bar of the City of New York
• Vice Chair, Investment Companies and Investment Advisers Subcommittee of the Committee on Federal Regulation of Securities, Business Law Section, American Bar Association
• Member, Hedge Funds Subcommittee of the Committee on Federal Regulation of Securities, Business Law Section, American Bar Association

Publications

• "Regulatory Monitor, SEC Update," The Investment Lawyer (Vol. 27, No. 9) (September 2020) (with Christopher Davies, Theresa Titolo, Jaclyn Moyer, Lorraine B. Echavarria, Elizabeth L. Mitchell and Daniel F. Schubert)
• "Liu v. SEC: The U.S. Supreme Court Upholds the SEC’s Power To Obtain Disgorgement in Civil Actions, But With Important Limitations" WilmerHale Client Alert (June 24, 2020) (with Christopher Davies, Lorraine B. Echavarria, Matthew T. Martens, Elizabeth L. Mitchell, Jaclyn Moyer, Nicole Rabner, Daniel F. Schubert and Theresa Titolo)
• "United States Court of Appeals for the District of Columbia Denies Petition for Mandamus Seeking to Protect Privilege When Company Shared Information Developed in Internal Investigations with Company Auditors," WilmerHale Client Alert (May 4, 2020) (with Christopher Davies, Jaclyn Moyer, Harry J. Weiss and Joseph J. Yu)
• "UPDATE: Lower Courts Interpret the Supreme Court's Decision in Janus Capital Group, Inc. v. First Derivative Traders," WilmerHale Client Alert (April 2, 2012) (with Thomas W. White, Douglas J. Davison, Christopher Davies, Michael A. Mugmon, Jaclyn Moyer, Joel Fleming and Lesley Fredin)
• "Litigation Under the Investment Company Act of 1940," Vol. 2, Chapter 26 Mutual Fund Regulation (Practicing Law Institute, 2008 and 2011) (Clifford E. Kirsch, ed.)
• "Enforcement Trends and Themes," Investment Management Institute (Practicing Law Institute, 2011) (with Carol Schepp and Tuongvy Le)
• "Supreme Court Endorses Gartenberg, But It's Not the Same Old Standard, " WilmerHale Client Alert (April 5, 2010) (with Matthew A. Chambers)
• "Enforcement Trends and Themes," Investment Management Institute (Practicing Law Institute, 2010) (with David Zetlin-Jones and Kimberly N. Chehardy)
• "Supreme Court Hears Argument on Jones v. Harris," WilmerHale Client Alert (November 5, 2009)
• "Supreme Court Agrees to Review Jones v. Harris Associates," WilmerHale Client Alert (March 9, 2009)
• "Enforcement Trends and Themes," Investment Management Institute (Practicing Law Institute, 2009) (with David Zetlin-Jones)
• "2009 Revised Form N-1A and Summary Prospectus Outline," WilmerHale Client Alert (March 2009) (with Matthew A. Chambers, Stuart E. Fross and Kasey E. Lindsay)
• "Enforcement Trends and Themes," Investment Management Institute (Practicing Law Institute, 2008) (with David Zetlin Jones)
• "Enforcement Trends and Themes," Investment Management Institute (Practicing Law Institute, 2007) (with David Zetlin Jones)
• "State Regulators and the Mutual Fund Industry," 39 The Review of Securities & Commodities Regulation 219 (Nov. 15, 2006) (with Cristina Alger)
• "Emails and the Recordkeeping Obligations of Investment Advisers," 12 The Investment Lawyer 16 (February 2005)
• "The Post-Central Bank Liability of Secondary Actors," 30 The Review of Securities & Commodities Regulation 153 (June 18, 1997)
• "The Right to a Jury Trial in Federal Securities Actions," 29 The Review of Securities & Commodities Regulation 175 (September 11, 1996) (with James N. Benedict)
• "California State Measure Poised to Reject Recently Enacted Federal Securities Reforms," 10 Insights: The Corporate & Securities Law Advisor 26 (August 1996)
• "The Trial of a Securities Case: Selected Issues and Strategies," ALI-ABA Course of Study (May 1997) (with James N. Benedict and Sean M. Murphy)
• "Intellectual Property Law, Second Circuit Decisions," Annual Review of Developments in Business and Corporate Litigation, American Bar Association Section on Business Law, Committee on Business and Corporate Litigation (1998, 1999, 2000, 2001, 2002, 2003 and 2004 editions)

Speaking Engagements

• "Enforcement and Litigation Trends in Investment Management," panel presentation at the Investment Management 2023 Conference:  Current Issues & Trends, sponsored by the Practising Law Institute (July 26, 2023)
• "Enforcement and Litigation Trends in Investment Management," panel presentation at the Investment Management 2022:  Current Issues & Trends conference, sponsored by the Practising Law Institute (July 28, 2022)
• "Fund Litigation," panel presentation at the Basics of Mutual Funds and Other Registered Investment Companies 2022 conference, sponsored by the Practising Law Institute (New York, New York) (April 7, 2022)
• "Investment Management: Enforcement and Litigation Trends," panel presentation at the Investment Management Institute 2021 conference, sponsored by the Practising Law Institute (July 28, 2021)
• “Regulating SPACs: Enforcement, Structuring, Valuation,” panel presentation at the Managed Funds Association Legal & Compliance 2021 conference (July 14, 2021)
• "Excessive Fee Litigation," panel presentation at the Basics of Mutual Funds and Other Registered Investment Companies 2021 conference, sponsored by the Practising Law Institute (New York, New York) (April 21, 2021)
• "Investment Management: Enforcement and Litigation Trends," panel presentation at the Investment Management Institute 2020 conference, sponsored by the Practising Law Institute (New York, New York) (July 28, 2020)
• "Investment Management: Enforcement and Litigation Trends," panel presentation at the Investment Management Institute 2019 conference, sponsored by the Practising Law Institute (New York, New York) (March 22, 2019)
• "Excessive Fee Litigation, Contract Renewal and Share Class Developments," panel presentation at the Basics of Mutual Funds and Other Registered Investment Companies 2018 conference, sponsored by the Practising Law Institute (New York, New York) (May 14, 2018)
• "Investment Management: Enforcement and Litigation Trends," panel presentation at the Investment Management Institute 2018 conference, sponsored by the Practising Law Institute (New York, New York) (April 30, 2018)
• "Investment Management: Enforcement and Litigation Trends," panel presentation at the Practising Law Institute: Investment Management Institute 2018 conference (New York, New York) (March 22-23, 2018)
• "Key Legal and Regulatory Issues:  Asset Management," panel presentation at the SIFMA Compliance & Legal Regional Seminar (Boston, Massachusetts) (June 7, 2017)
• "Excessive Fee Litigation," panel presentation at the Basics of Mutual Funds and Other Registered Investment Companies 2017 conference, sponsored by the Practising Law Institute (New York, New York) (April 20, 2017)
• "Enforcement and Litigation Trends," panel presentation at the Practising Law Institute: Investment Management Institute 2017 conference (New York, New York) (March 24, 2017)
• "Investment Management Enforcement Issues," panel presentation at the NERA 16th Securities & Finance Summer Seminar (Park City, Utah) (July 5, 2016)
• "Excessive Fee Litigation," panel presentation at the Basics of Mutual Funds and Other Registered Investment Companies 2016 conference, sponsored by the Practising Law Institute (New York, New York) (April 28, 2016)
• "Enforcement and Litigation trends," panel presentation at the Practising Law Institute: Investment Management Institute 2016 conference (New York, New York) (March 4, 2016)
• "Conducting an Investigation into Fraud and Misappropriation," panel presentation at the National Society of Compliance Professionals 2015 National Conference (Washington, DC) (November 3, 2015)
• "Hot Issues, Preparing for SEC Exams, and Proactive Protection," panel discussion at the Financial Research Associate's Investment Advisor Compliance Summit (New York, New York) (July 16, 2015)
• "Enforcement Issues and Investigations," panel discussion at the Managed Funds Association Compliance 2015 Conference (New York, New York) (May 5, 2015) 
• "SEC Insights for Hedge Funds," panel discussion co-sponsored by PwC and WilmerHale (New York, New York) (April 30, 2015)
• "Excessive Fee Litigation," panel presentation at the Basics of Mutual Funds and Other Registered Investment Companies 2015 conference, sponsored by the Practising Law Institute (New York, New York) (April 30, 2015) 
• "Commencement of a Civil Action: Filing the Complaint, Preparing the Motion to Dismiss, Coordinating Multiple Actions," panel presentation at PLI Securities Litigation 2015: From Investigation to Trial (New York, New York) (April 22, 2015)
• "Enforcement and Litigation trends," panel presentation at the Practising Law Institute: Investment Management Institute 2015 conference (New York, New York) (March 5-6, 2015)
• Co-Chair, American Conference Institute's 4th National Forum on Securities Litigation & Enforcement (New York, New York) (January 22-23, 2015) 
• "Securities Litigation & Enforcement Case Law Year in Review: Inside the Year's Top Securities Cases and How They Will Dictate the Future of Prosecution and Defense," panel presentation at the American Conference Institute's 4th National Forum: Securities Litigation & Enforcement conference (New York, New York) (January 22-23, 2015)
• “Excessive Fee Litigation,” panel presentation at the Basics of Mutual Funds and Other Investment Companies 2014 conference, sponsored by the Practising Law Institute (New York, New York) (April 23, 2014)
• “Litigation Trends,” panel presentation at the Investment Management Institute 2014 program, sponsored by the Practising Law Institute (New York, New York) (March 7, 2014)
• “The Use of Scheme Liability in a Post-Janus Climate,” panel presentation at the American Conference Institute's 3rd National Forum on Securities Litigation & Enforcement (Washington, DC) (February 28, 2014)
• Co-Chair, American Conference Institute's 3rd National Forum on Securities Litigation & Enforcement (Washington, DC) (February 27-28, 2014)
• "Capital Recovery: Duties and Responsibilities of the Investment Adviser," panel presentation at the Institutional Investor Legal Forum Winter Roundtable (New York, New York) (February 4, 2014) 
• “Regulatory and Enforcement Trends and Developments Affecting Investment Advisers, Investment Companies and Private Funds,” panel presentation at the American Bar Association Business Law Section Fall Meeting (Washington, DC) (November 22, 2013)
• “Valuation Issues, SEC Examinations & Enforcement Actions,” panel presentation on a webinar co-sponsored by Deloitte & WilmerHale (June 19, 2013)
• “SEC Focus on Private Fund Advisers,” panel presentation at the Global Capital Markets & the U.S. Securities Laws 2013 conference, sponsored by the Practising Law Institute (New York, New York) (June 5, 2013)
• “Current Legal and Ethical Issues for Counsel in Investment Management Regulation," panel presentation for the Association of the Bar of the City of New York (New York, New York) (May 14, 2013)
• “Excessive Fee Litigation,” panel presentation at the Basics of Mutual Funds and Other Investment Companies 2013 conference, sponsored by the Practising Law Institute (New York, New York) (April 24, 2013)
• “The US Litigation and Enforcement Environment and its Effect on Cayman Directors,” presentation for the Alternative Investment Management Association (Grand Cayman, Cayman Islands) (April 18, 2013)
• “Current Topics in Valuation,” panel presentation at the Mutual Fund Directors Forum 2013 Policy Conference (Washington, DC) (April 10, 2013)
• “Litigation,” panel presentation at the Investment Management Institute 2013 program, sponsored by the Practising Law Institute (New York, New York) (March 8, 2013)
• "Fund Litigation," panel presentation at the Basics of Mutual Funds and Other Registered Investment Companies 2023 conference, sponsored by the Practising Law Institute (New York, New York) (April 17, 2023)