Robert Vaughan Cornish, Jr.
Robert (Bob) Cornish handles litigation, arbitration, regulatory and compliance matters for broker/dealers (B/Ds), investment advisers (RIAs), hedge funds, commodities firms, institutional investors and family offices in the United States and abroad.
Bob has experience forming hedge funds, fund of funds, private equity funds, commodity pools and structured financial products. In addition, Bob also develops compliance manuals and compliance programs including "mock audits" for RIAs, B/Ds and fund managers.
Bob has more than ten years of in-house counsel experience with investment firms. He previously served as Chief Legal & Compliance Officer for Pacific Income Advisers and its affiliates. He also served as General Counsel for a prominent hedge fund manager. This previous experience provides valuable insight for investment management clients with complex business management and marketing matters.
- Represents investors, registrants and firms in FINRA and NFA arbitrations and court proceedings
- Represents family offices, hedge funds, mutual funds and investment advisers on state and federal securities related compliance matters
- Represents securities and commodities registrants in connection with enforcement and disciplinary proceedings before FINRA, NFA, CFTC, SEC and state securities regulators
- Represents hedge fund and futures managers in formation of investment vehicles
Professional & Community Activities
- Member, SIFMA Legal & Compliance Division
- Certified Speaker, CFA Institute Speaker’s Bureau (Hedge Fund Due Diligence)
- Industry Arbitrator, FINRA and National Futures Association (Chairperson Trained)
- Former FINRA General Securities Principal (Series 24)
- Member, London Court of International Arbitration
Speeches & Presentations
- Panelist, "Investment Committee Best Practices," Tribal Trust & Investment Workshop, Green Bay, WI, May 2013.
- Panelist – “Regulatory Update," Third Party Marketers (3PM) Annual Conference, Boston, MA, April 2013.
- Presenter – “Manager Selection: Evaluating the Business Operations of Investment Managers in Due Diligence Reviews,” CFA Society of New Orleans, July 2008; CFA Society of Mississippi, April 2010 and Austin CFA Institute, October 2010; Arkansas CFA Society, February 2013.
- Presenter - "But For the Grace Go I: Lessons from Sullivan v. Harnisch," Atlanta B/D & RIA Continuity Group Conference, November, 2008.
- Presenter - "Global Legal & Regulatory Developments Concerning Alternative Investments," Marcus Evans Alternative Investments & Funds Conference, Stockholm, Sweden, October, 2008.
- Presenter & Organizer – “Dollar, Euro, Pound, Yen – An Overview of Currency Management for Family Offices,” Family Office Exchange, June, 2008 (available on www.familyoffice.com).
- J.D., Samford University, Cumberland School of Law, Articles Editor, American Journal of Trial Advocacy, Volume 16. Semi-Finalist, 1993 National Moot Court Competition. Dean’s List, 1993
- B.A., Political Science, Davidson College, Thomas Sparrow Scholar/Athlete, 1989
- Tennessee, 1994
- Arkansas, 1995
- Wyoming, 2005
- District of Columbia, 2005
- New York, 2009
- United States Supreme Court, 2011
- United States District Court Arkansas, 1995
- United States District Court Western District of Tennessee, 2004
- United States Court of Appeals Federal Circuit, 2004
- United States Court of Appeals Fifth Circuit, 2010
- United States District Court Southern District of New York, 2010
- United States District Court Middle District of Tennessee, 2011
- United States District Court Eastern District of New York, 2011
- United States District Court Northern District of New York, 2011
- United States District Court District of Colorado, 2012
- United States District Court District of Nebraska, 2012