Caroline focuses her work on regulatory compliance, white-collar and government investigations, and securities enforcement and counseling. Caroline has experience representing broker-dealers and other financial institutions, public and private companies, and individuals in investigations and proceedings before administrative, legislative, and self-regulatory agencies including the SEC and FINRA. Caroline also helps develop and update effective compliance and supervisory policies and procedures and has experience in drafting effective Regulation SHO, Conflicts of Interest, and Customer Due Diligence policies, among other compliance procedures. Caroline further works with CFIUS, the Corporate Transparency Act and anti-money laundering regulations, export-import controls and anti-boycott and anti-corruption regulations, and has experience assisting US companies navigating USTDA submissions, export controls, sanctions, and other regulatory controls.
On the transactional side, Caroline works with our capital markets group representing issuers and broker-dealers in financings, capital markets transactions, initial public offerings, private placements, PIPEs, and investment fund matters, and advises clients on corporate governance and compliance with ongoing disclosure and other obligations under the federal securities laws.
Caroline is also an Adjunct Professor at Stonehill College teaching POL201, Mock Trial.
Caroline graduated from Boston University School of Law, cum laude, and with a concentration in International Law, with honors. During law school, Caroline was the Managing Editor of the Boston University International Law Journal, interned for the Honorable Juan R. Torruella, United States Court of Appeals for the First Circuit, and was a two-time member of the Judge John R. Brown Admiralty Moot Court Competition team.
Representative Client Work
- Counseled a domestic electrical contractor on anti-boycott, anti-money laundering, export sanctions and compliance, and anti-corruption regulatory compliance in connection with an feasibility study for a power station in Africa
- Counseled a private e-commerce company on the impact of emerging Russian and Belarusian sanctions in connection with its acquisition by a large international corporation
- Counseled private and public companies on matters of material non-public information
- Represented broker-dealer in connection with a FINRA Enforcement investigation
- Represented broker-dealer in connection with a FINRA Dispute Resolution arbitration
- Represented individual in FINRA Dispute Resolution arbitration
- Represented private companies in connection with SEC investigations
- Represented a broker-dealer in connection with SEC investigations
- Counseled on issues of potential material, non-public information, Regulation SHO, conflicts of interest, and sanctions controls issues
- Counseled private and public companies and individuals on Rule 144 and other securities regulation compliance
- Represented domestic companies in connection with IPOs and numerous follow-on public offerings
- Represented foreign companies in connection with IPOs
- Represented placement agent in connection with a $15 million at-the-market private offering by a health food and ready-made meal prep company
Bar & Court Admissions
- J.D., cum laude, Boston University School of Law; concentration in International Law, with honors
- B.A., magna cum laude, Stonehill College, Moreau Honors Scholar
- Boston Bar Association
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