Nicole O'NeilLaw Clerk

areas of work
  • Litigation 
  • Securities
  • Corporate
  • Employment

Nicole has worked at the firm for the past two years, and has been a vital member on all of the firm’s securities, investment advisor and broker-dealer litigation, and compliance matters and regulatory issues.

During her time with the firm, she has attended depositions, court arguments, and a trial. She has drafted and researched issues under the Securities Act of 1933, the Exchange Act of 1934, the Investment Adviser Act of 1940 and the Investment Company Act of 1940, the Lanham Act and related state law statutory regimes. She has further taken the lead on business, corporate, securities and fund formation matters, including drafting and researching issues for PPMs, subscription agreements, blue-sky compliance, side letters, loan agreements, redemption agreements, and related corporate and securities agreements.

She has gained tremendous experience through various internships, including with the Securities and Exchange Commission, Division of Enforcement. After finishing law school, Nicole will begin working for the firm as an associate.

contact details

1-508-527-1493
9 W. Broad St., Suite 550
Stamford, CT 06902

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Rich is a super intelligent attorney with a skilled chess grandmaster mindset — always looking at the big picture and thinking several moves ahead in the advice he gives. Fast document turn-around time with incredible structure and attention to detail built-in. Rich also did an amazing job of understanding my case and accurately communicating the proper tone in his correspondences as my representative.

Kenichi Ninomiya
Founder, Tech Company

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