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)

Seminars & Presentations

Practices

Industries

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