Email address
[email protected]Contact number
+1 202 663 6825Share profile
Band 2
Provided by Stephanie Nicolas
Stephanie Nicolas is a partner in the firm's Securities Department, and a member of the Broker-Dealer Compliance and Regulation and Futures and Derivatives Practice Groups. She joined the firm in 2001.
Ms. Nicolas has extensive experience handling a broad range of broker-dealer regulatory and enforcement issues and conducting internal reviews and compliance audits. She works with major investment banking firms, broker-dealers and other market participants to provide advice and develop policies and procedures for a broad range of securities issues and activities, including: information barriers and conflicts of interest; research activities; firm-wide supervision; trading and sales practices; capital markets; regulatory reporting and technology; and cross-border issues.
To learn more about Ms. Nicolas, please visit: https://www.wilmerhale.com/en/people/stephanie-nicolas
JD, magna cum laude, Georgetown University Law Center, 1999; BA, Brown University, 1994.
Provided by Chambers
Stephanie Nicolas is sought after for her expertise regarding the regulation of broker-dealers. She routinely provides strategic advice to clients undergoing complex SEC and FINRA investigations.
Provided by Chambers
"Stephanie is a really smart, thoughtful lawyer who is thorough in the work that she does."
"Stephanie is a really smart, thoughtful lawyer who is thorough in the work that she does."
