Caroline J. Lambert, Esq.
Sullivan & Worcester LLP
Caroline focuses her work on regulatory compliance, white-collar and government investigations, and securities enforcement and counseling. Caroline has experience representing broker-dealers and other financial institutions, public and private companies, and individuals in investigations and proceedings before administrative, legislative, and self-regulatory agencies including the SEC and FINRA. Caroline also helps develop and update effective compliance and supervisory policies and procedures and has experience in drafting effective Regulation SHO, Conflicts of Interest, and Customer Due Diligence policies, among other compliance procedures. Caroline further works with CFIUS, the Corporate Transparency Act and anti-money laundering regulations, export-import controls and anti-boycott and anti-corruption regulations, and has experience assisting US companies navigating USTDA submissions, export controls, sanctions, and other regulatory controls.
On the transactional side, Caroline works with our capital markets group representing issuers and broker-dealers in financings, capital markets transactions, initial public offerings, private placements, PIPEs, and investment fund matters, and advises clients on corporate governance and compliance with ongoing disclosure and other obligations under the federal securities laws.
Caroline is also an Adjunct Professor at Stonehill College teaching POL201, Mock Trial.
Caroline graduated from Boston University School of Law, cum laude, and with a concentration in International Law, with honors. During law school, Caroline was the Managing Editor of the Boston University International Law Journal, interned for the Honorable Juan R. Torruella, United States Court of Appeals for the First Circuit, and was a two-time member of the Judge John R. Brown Admiralty Moot Court Competition team.