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 Lawyer, The Legal 500 U.S. (2018-2021)
  • Mutual Funds Industry Awards Rising Star (2018)
  • Leadership Council on Legal Diversity Fellows Program (2017)
  • The Legal 500 U.S. (2012-2016, 2018-2021)

Seminars & Presentations

Practices

Industries

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