Nicole is Chair of Sullivan's Corporate Governance & Board Advisory Practice Group and a Partner in the Investment Management Group. Her practice focuses on the representation of mutual funds and fund independent directors, investment advisers, and broker-dealers on a broad range of governance, regulatory, operational and transactional matters. With respect to funds, Nicole represents open-end funds, closed-end funds, and ETFs. She has specialized expertise in ESG, risk oversight, including cybersecurity and conflicts, and the 15(c) process. She is known as a trusted adviser to clients.
In recognition of her work, Nicole was named one of the top ten women investment management lawyers by Fund Board Views, and was also named a "Next Generation Lawyer" by The Legal 500 US. In 2019, she was included on DCA Live's inaugural list of the top Emerging Women Leaders in Private Practice. She was named a "Rising Star" at the Mutual Fund Industry Awards by Fund Action/Fund Intelligence. Nicole serves on the Firm’s Lateral Hiring Committee and Diversity, Equity and Inclusion Committee. Nicole served as Chair of the Firm's Women's Initiative from 2017-2021 and is a 2017 Fellow of the Leadership Council on Legal Diversity. Prior to joining Sullivan, Nicole was an associate at Winston & Strawn LLP and Baker & McKenzie LLP. She has an LL.M. from University College London focusing on international law with focus on international human rights and investment and worked on investment and human rights as a legal fellow at Amnesty UK (London) and Amnesty USA (DC).
Representative Client Work
- Representing investment companies and Boards, independent directors and executive leadership in the financial services industry regarding routine and non-routine board issues; risk management, disclosure issues, compliance matters, and the formation, offering and operation of investment companies
- Representing mutual funds, exchange-traded funds, closed-end funds, and business development companies and their independent directors
- Representing investment advisers and broker-dealers with respect to regulatory matters and law enforcement investigations arising under the federal securities laws
- Guiding clients through complex and high-risk decision-making, fact-finding concerning potential violations of laws or regulations, conflicts of interests and response to shareholder demands
- Advising boards in connection with annual contract renewal process
- Conducting internal compliance reviews
- Developing protocols for mutual funds and investment advisory clients
- Advising board and executive management on engagement with the SEC, CFTC and FINRA
- Advising public companies concerning their status under the Investment Company Act of 1940
- Representing investment advisers and their principals on acquisitions and sales of investment advisory businesses
Bar & Court Admissions
- District of Columbia
Education
- LL.M., University of London, University College London
- J.D., The Ohio State University Moritz College of Law
- B.A., The Ohio State University
Awards & Honors
- Emerging Woman Leader in Private Practice, DCA Live (2019)
- Next Generation Partner, The Legal 500 U.S. (2018-2022)
- Mutual Funds Industry Awards Rising Star (2018)
- Leadership Council on Legal Diversity Fellows Program (2017)
- The Legal 500 U.S. (2012-2016, 2018-2022)
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Press ReleaseJune 8, 2022
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Fund Directions, QuotedMarch 21, 2022
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Fund Directions, QuotedMarch 9, 2022
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Fund Board ViewsMarch 8, 2022
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Fund Board Views, QuotedMarch 3, 2022
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BoardIQ, QuotedNovember 2, 2021
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FinOps Report, QuotedOctober 19, 2021
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Corporate Board Member, QuotedOctober 5, 2021
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BoardIQ, QuotedAugust 10, 2021
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Fund Directions, QuotedJuly 26, 2021
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Press ReleaseJune 9, 2021
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International Financial Law Review, QuotedMay 25, 2021
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Fund Directions, QuotedApril 30, 2021
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Fund Directions, QuotedApril 23, 2021
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Fund Directions, QuotedMarch 12, 2021
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Law360February 17, 2021
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BoardIQ, QuotedFebruary 9, 2021
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BoardIQ, QuotedFebruary 9, 2021
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Fund Directions, QuotedJune 26, 2020
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Press ReleaseJune 10, 2020
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Fund Directions, QuotedApril 14, 2020
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Fund Directions, QuotedMarch 27, 2020
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Fund Directions, QuotedMarch 26, 2020
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Client AlertMarch 16, 2020
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Fund Board Views, QuotedMarch 11, 2020
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Board IQ, QuotedFebruary 25, 2020
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Ignites, QuotedJanuary 29, 2020
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Fund Directions, QuotedJanuary 9, 2020
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IgnitesJanuary 6, 2020
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Fund Directions, QuotedSeptember 6, 2019
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Sullivan Press ReleaseMay 30, 2019
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Fund Directions, QuotedApril 30, 2019
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DCA Live, QuotedMarch 6, 2019
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Fund Directions, QuotedJanuary 14, 2019
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Fund Directions, QuotedJanuary 3, 2019
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Bloomberg Business, QuotedDecember 21, 2018
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Fund Directions, QuotedDecember 20, 2018
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Fund Board ViewsNovember 29, 2018
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Fund Directions, QuotedOctober 26, 2018
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Fund Directions, QuotedOctober 22, 2018
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Fund Directions, QuotedAugust 20, 2018
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Fund Directions, QuotedAugust 20, 2018
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Corporate Board Member, QuotedJuly 2018
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Law360, QuotedMay 28, 2018
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Press ReleaseApril 18, 2018
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Law360, QuotedMarch 30, 2018
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Ignites, QuotedMarch 16, 2018
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Fund Board Views, QuotedFebruary 23, 2018
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Board IQ, QuotedDecember 5, 2017
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Ignites, QuotedOctober 19, 2017
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Press ReleaseSeptember 19, 2017
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Fund Board Views, QuotedApril 12, 2017
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PLANADVISER, QuotedJanuary/February 2017
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Press ReleaseFebruary 15, 2017
Seminars & Presentations
- The C-Suite & The Board: Working Together to Create a More Inclusive Culture
Women, Diversity & Change: Corporate Governance & Leadership Conference (September 29, 2021) - The Ohio State University Forum for Law, Finance and Governance
Ohio State University (November 1, 2019) - Tax Developments — Momentum Demands Movement
Ultimus (May 3, 2018) - Director Discussion Series
Sullivan & Worcester Conference Center (October 30, 2017)