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Practice Areas


  1. Business: 100%

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Contact Info

1601 K Street Nw
Washington, DC, 20006-1600


DCActive 197905/24/2015

Professional Misconduct

We have not found any instances of professional misconduct for this lawyer.
Avvo Contributions
Legal Answers
Work Experience
TitleCompany NameDuration
Adjunct ProfessorGeorgetown University School of Law, LL.M. Program1997 - 2000
Law ClerkHonorable Charles Clark, U.S. Court of Appeals for the Fifth Circuit1978 - 1979
Association NamePosition NameDuration
American Bar Association, Business Law Section, Investment Companies and Investment Advisors SubcommitteeCo-Chair, Chair1994 - 2004
Federal Bar Association, Securities Law Committee, Executive CouncilPresidentN/A
Mutual Fund Directors Forum, Executive BoardMemberN/A
Variable Insurance Products Committee, NASDMemberN/A
Committee on Developments in Investment Services, American Bar Association, Section of Business LawChairN/A
Executive Committee, ABA Retirement FundsMemberN/A
Investment Committee, ABA Retirement FundsChairN/A
Publication NameTitleDate
Investment Lawyer Mutual Fund Governance: Clarifying the Role of Independent Directors2005
Sarbanes-Oxley Act: Planning & ComplianceBook, co-author2005
Sarbanes-Oxley Planning and ComplianceBook, co-author2003
American Bar Association publicationBook, author2003
CurrentsThe New Technologies of Customer Identification (Part 2)2002
CurrentsThe New Technologies of Customer Identification (Part 1)2002
The Business LawyerRoundtable on the Role of Independent Investment Company Directors: Issues for Independent Directors of Bank-Related Funds, Variable Insurance Product Funds, and Closed-End Funds1999
Securities Practice and Electronic TechnologyInvestment Companies and Investment Advisers1998
Fund ActionRegulatory Talk1998
The Business Lawyer The Financing of Mutual Fund B Share Arrangements1997
Insights: The Corporate & Securities Law Advisor Developments Affecting Fund of Funds Structures, Variable Insurance Contract Pricing, and Fund Names1997
The Financial Revolution: Understanding the Changing Roles of Banks, Insurance Companies, and Mutual FundsBank Sales and Underwriting of Investment Products (Mutual Funds and Annuities)1996
Insights, The Corporate & Securities Law Advisor & Investment LawyerParticipant Directed Defined Contribution Plans and Reliance on the Private Investment Company Exception1996
American Bar Association publicationBook, author1996
The Financial Services Regulatory ReportU.S. Supreme Court Rules National Banks May Broker Annuities1995
Bankers MagazineDevelopments Relating to Investment Companies, Banks, and Mutual Funds1995
Bank Investment Products Deskbook (Warren, Gorham & Lamont)Book, author1995
The Financial Services Regulatory ReportInsurance Companies, Banks, and Mutual Fund Complexes: Who, What, Where1994
Insights: The Corporate & Securities Law AdvisorLateral Hiring Conflicts1991
School NameMajorDegreeGraduated
Villanova University School of LawLawJD - Juris Doctor1978
University of RochesterN/ABA - Bachelor of Arts1971
Speaking Engagements
Conference NameTitleDate
K & L Gates Investment Management Breakfast BriefingFee-Based Brokerage: What to do Next?2007

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