Stephanie Nicolas is a partner in the Securities Department at WilmerHale LLP, and a member of the Broker-Dealer Compliance and Regulation and Futures and Derivatives Practices. Works with major investment banking firms, broker-dealers, and other financial institutions in responding to regulatory and enforcement actions and developing comprehensive compliance and supervisory procedures for a range of broker-dealer activities, including: research activities; firm-wide supervision; information barriers; surveillance procedure; and sales and trading issues.


JD, magna cum laude, Georgetown University Law Center, 1999, Order of the Coif; BA, Brown University, 1994.

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