KARL-OTTO HARTMANN

J.D., M.B.A.

617.447.5588

thefundguru@yahoo.com

WRITING

Legal and Compliance

From 1988 through 2005, I worked for companies that discouraged or prohibited employee publications.  The 12b-1 and 28(e) articles written earlier in my career warned of the dangers that have in part precipitated the recent mutual fund scandals.  In my post-J.P. Morgan career, I have begun to write extensively.

Published works

• “The Mutual Fund Industry and Rule 12b-1 Plans:  An Assessment,”Securities Regulation Law Journal, co-author with Lee B. Burgunder (Winter 1988)
• “Soft Dollars and Section 28(e) of the Securities Act of 1934:  A 1985 Perspective,” American Business Law Journal, co-author with Lee B. Burgunder (Summer 1986)
• “Government Liability for Defective Regulation in Bank Insolvency Cases,” Santa Clara Law Review (Fall 1980)

Investments and economics

I am keenly interested in the daily excitement of the global economy and its impact on investments of all types.  I write a periodic newsletter for friends and acquaintances.  I focus on various key themes, such as demographic trends, impact of globalization, rise of China and India, and Baby Boomer retirement, as well as giving investment suggestions.

If you are interested in receiving my email letters, please send me an email noting your interest, background and email address.  Send your email to:  thefundguru@yahoo.com .

Fund scandals

The recent spate of scandals involving managers, mutual funds and hedge funds prompted me to start a research project on the history and motivations of such scandals.  I intend to use such research and documentation to write about the scandals on the web and for publications.  If you have material or thoughts to contribute, please send them to fundscandals@yahoo.com .

 

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Contact me to discuss your needs:  617-447-5588 or thefundguru@yahoo.com

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