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Attorney Profile: Daphne Tippens Chisolm

Dedicated Securities Lawyer

Ms. Chisolm has practiced securities law for more than 15 years, having worked in the private sector both before and after her tenure in the federal government.

From 1999-2007, Ms. Chisolm worked for the U.S. Securities and Exchange Commission (SEC) in the Division of Investment Management as senior counsel for the Office of Chief Counsel. In that position, she reviewed and analyzed requests for no-action and no-enforcement relief under the Investment Company Act of 1940 and the Investment Advisers Act of 1940. She also was responsible for drafting opinions, memoranda and letters concerning matters arising under the federal securities law.

Ms. Chisolm also served as an aide to an SEC Commissioner from 2002 to 2005, one of the busiest enforcement periods of the SEC’s history. It was in that position that she gained the insight needed to effectively represent investors in claims against broker-dealers.

Education & Bar Associations

Ms. Chisolm received her Juris Doctorate from Harvard Law School in 1994. She graduated with her Bachelors of Science degree in business administration from the University of North Carolina at Chapel Hill in 1991.

Attorney Chisolm is a member of the North Carolina State Bar, North Carolina Bar Association, Mecklenburg County Bar, United States District Court for the Western District of North Carolina Bar, and the District of Columbia Bar.

Attorney Profile: Cynthia Baughman

Dedicated Securities Lawyer

Ms. Baughman has practiced securities law for over 12 years. From 1999 – 2009, she worked as an Associate in the Financial Services Group of the Washington D.C. office of Dechert LLP. Prior to that, she was associated with a boutique law firm located in Washington D.C. that specializes in insurance-related financial products. Her practice generally focuses on the regulatory issues facing registered investment companies, their investment advisers and board of directors and the general market participants involved in the distribution of mutual fund shares. Ms. Baughman regularly counsels mutual funds, their boards of directors and their federally registered investment advisers. During her career, Ms. Baughman has been involved in all stages of the “life cycle” of a mutual fund, including, development, initial registration, distribution arrangements, board composition, fund reorganizations, and fund liquidations.

Education and Bar Associations

Ms. Baughman earned her J.D. from Pennsylvania State University, Dickinson School of Law in 1997 and her LL.M., Securities and Financial Regulation from Georgetown University Law Center in 2002.
Bar Admissions:
District of Columbia
New Jersey

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