Roger Joseph’s practice encompasses both publicly offered and private investment funds, and includes representation of funds, sponsors and independent directors. He is known for advising clients on the evolving federal regulatory environment for funds and managers, including under the Dodd-Frank Act and the Volcker Rule as well as federal securities laws. Roger has participated in many innovative developments in the investment management industry, including heading up the legal team that developed the master/feeder legal structure and shepherding the first funds using that structure through the US registration process. He also led the investment management team in the legal structuring of the first principal-protected, actively managed mutual funds.
Roger provides a great combination of business acumen and depth of legal knowledge while being conscientious and terrific to work with.
He is skilled at navigating complex and sensitive matters.
He's one of the finest ’40 Act attorneys with whom I have had the privilege to work.
Roger has led many major projects, including restructurings of major fund complexes. He was co-leader of the legal team that reorganized more than 100 open and closed-end funds governed by eight separate boards, in connection with the acquisition of a large asset management organization by another large financial services firm. He also served as co-leader of the legal team that served as an Independent Compliance Consultant under applicable regulatory orders in reviewing a major mutual fund adviser’s compliance with federal and state securities laws.
Roger is a frequent guest speaker at industry panels and is regularly quoted in industry publications and the business press. His clients include registered mutual funds and closed-end funds, investment advisers, and independent directors as well as sponsors of private equity funds, hedge funds, and offshore funds.
Before joining Morgan Lewis, Roger was the co-chair of the global financial services practice of another international law firm and a member of its executive board.
Columbia University School of Law, 1976, Juris Doctor
Cornell University, 1973, Artis Baccalaureate
Awards and Affiliations
Member, Best ETF Law Firm, ETF Express US Awards (2021, 2022)
Recognized, Best Law Firms for Fund Formation & Management, United States (Recommended), Leaders League and Décideurs (2021)
Band 1, Hedge & Mutual Funds, Massachusetts, Chambers USA (2007–2022)
Ranked, Investment Funds: Registered Funds, Nationwide, Chambers USA (2007–2022)
Ranked, Investment Funds: Registered Funds, USA, Chambers Global (2020–2022)
Lawyer of the Year, Mutual Funds Law, Boston, The Best Lawyers in America (2023)
Recognized, Mutual Funds Law, Boston, The Best Lawyers in America (2006–2020, 2022, 2023)
Client Service All-Star, BTI Consulting Group (2019)
Hall of Fame, Investment fund formation and management: Mutual/registered/exchange-traded funds, The Legal 500 US (2020–2022)
Leading Lawyer, Recommended, Investment fund formation and management: Mutual/registered/exchange-traded funds, The Legal 500 US (2008–2019)
Lawyer of the Year, Mutual Funds, The Best Lawyers in America (2013, 2018)
Member, Practice Group of the Year, Asset Management, Law360 (2017)
Carolyn and Peter Lynch Award in recognition of community service efforts on behalf of the Inner-City Scholarship Fund (2009)
Articles editor, Columbia Law Review
Columbia University School of Law — first in class
Duniway Prize, awarded to the graduating Cornell University Government major with the highest academic ranking
Named, TheLegal 500 Hall of Fame (2017)
Member, American Bar Association
Member, Federal Bar Association
Member, Investment Funds Committee of the International Bar Association
Member, Executive Council of the Inner-City Scholarship Fund, which is chaired by Peter Lynch and which provides scholarships to needy students from Boston’s inner-city Catholic schools