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 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.
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