Nicole is the 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 boards and board committees, including independent directors, mutual funds, private funds, impact/ESG funds, closed-end funds, investment advisers, broker-dealers and companies of all sizes. Nicole regularly advises boards, independent directors, board committees and executive leadership on all aspects of governance, compliance and board effectiveness, as well as the operation of investment companies and related transactions, crisis and conflict management, regulatory oversight and compliance, government and internal investigations, and shareholder engagement issues. She is known as a trusted adviser to clients.
In recognition of her work on behalf of boards and funds, Nicole was named a "Rising Star" at the Mutual Fund Industry Awards by Fund Action/Fund Intelligence, 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 is a 2017 Fellow of the Leadership Council on Legal Diversity. Nicole also serves on the firm’s Diversity, Equity and Inclusion Committee. 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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Press ReleaseNovember 9, 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)