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 and proactively updating effective Regulation SHO, Conflicts of Interest, and Customer Due Diligence policies, among other compliance procedures. Caroline further works with CFIUS, the Corporate Transparency Act, anti-money laundering regulations, and export-import 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 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

  • Represented placement agent in connection with a $15 million at-the-market private offering by a health food and ready-made meal prep company
  • Represented broker-dealer in connection with a FINRA Enforcement investigation
  • Represented broker-dealer in connection with a FINRA Dispute Resolution arbitration
  • Represented private companies in connection with SEC investigations
  • Represented individual in FINRA Dispute Resolution arbitration
  • Counseled on issues of potential material, non-public information, Regulation SHO, conflicts of interest, and sanctions controls issues

Bar & Court Admissions

  • Massachusetts

Education

  • 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

Community Engagement

  • Boston Bar Association

Practices

Industries

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