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Lawyer Profile

Image of Domenick Pugliese

Domenick Pugliese

Sullivan & Worcester LLP
  • Recognized Since:
    2016
  • Recognized in:
    Mutual Funds Law
  • Law School:
    George Washington University Law School
  • Website:
    https://www.sullivanlaw.com
  • E-mail:
    dpugliese@sullivanlaw.com
  • Location:
    1633 Broadway
    New York, NY 10019

Dom has broad, in-depth experience regarding all aspects of Investment Company Act and Investment Advisers Act regulation. He counsels all types of investment companies, including mutual funds, closed-end funds, exchange-traded funds, and business development companies, and dedicates a substantial portion of his practice to advising independent trustees and directors of mutual funds and variable annuity trusts.

Dom views his role as a multi-faceted one. Not only does he counsel boards on their statutory and regulatory obligations, but he also ensures that boards understand how to represent the best interests of shareholders. He coordinates Executive Sessions so that independent trustees can ask questions and set strategic priorities. Between meetings, Dom fields questions regarding independent trustees’ duties and responsibilities and fund operation. Chief compliance officers rely on Dom’s advice, and he often serves as a liaison between CCOs and their boards.

Before entering private practice, Dom was a deputy general counsel for Alliance Capital and in-house counsel at Prudential Mutual Fund Management.

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  • Lawyer Bio
  • Client Comments
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Lawyer Bio

Dom has broad, in-depth experience regarding all aspects of Investment Company Act and Investment Advisers Act regulation. He counsels all types of investment companies, including mutual funds, closed-end funds, exchange-traded funds, and business development companies, and dedicates a substantial portion of his practice to advising independent trustees and directors of mutual funds and variable annuity trusts.

Dom views his role as a multi-faceted one. Not only does he counsel boards on their statutory and regulatory obligations, but he also ensures that boards understand how to represent the best interests of shareholders. He coordinates Executive Sessions so that independent trustees can ask questions and set strategic priorities. Between meetings, Dom fields questions regarding independent trustees’ duties and responsibilities and fund operation. Chief compliance officers rely on Dom’s advice, and he often serves as a liaison between CCOs and their boards.

Before entering private practice, Dom was a deputy general counsel for Alliance Capital and in-house counsel at Prudential Mutual Fund Management.

  • Education
  • Award List

Education:

  • George Washington University Law School , J.D., with honors

Recognized in The Best Lawyers in America for work in:

  • Mutual Funds Law
 

Lawyer Client Comments

Lawyer Practice Areas

Key: Awarded in Best Lawyers Not Currently Awarded for this Area in Best Lawyers

Firm Details

Image for Sullivan & Worcester LLP View Firm Profile
Sullivan & Worcester LLP
https://www.sullivanlaw.com
 
Headquarters
One Post Office Square
Boston, MA 02109
(617) 338.2800
4 Office Locations
in 2 Countries

United Kingdom

United Kingdom

London, United Kingdom

Tower 42

25 Old Broad Street

London EC2N 1HQ

United Kingdom

44 20 7448 1000

Get Directions

United States

United States

District of Columbia

District of Columbia

Washington, DC

1666 K Street, NW

Washington, DC 20006

United States

(202) 775.1200

Get Directions

New York

New York

New York, NY

1633 Broadway

New York, NY 10019

United States

(212) 660.3000

Get Directions

News & Media

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