As a member of the firm’s financial services team, Carol focuses her practice on matters arising under the Investment Company Act of 1940, the Investment Advisers Act of 1940, and other federal and state securities laws as they pertain to registered and unregistered investment companies.  Carol regularly assists clients on matters such as registration, reporting and disclosure matters, and compliance issues arising from the distribution of investment products, and has developed comprehensive written compliance policies and procedures for investment advisers.  Carol also advises financial institutions that sponsor multi-tiered investment products, such as college savings plans (“529 Plans”), on regulatory, transactional, and disclosure matters.  In addition, Carol actively participates in the firm’s pro bono initiatives and finds the work to be an important facet of what she does at Sutherland.

Carol earned her J.D., cum laude, from American University Washington College of Law, where she served as a Staff Member on the Administrative Law Review.  She received her B.S. in Political Science and International Relations from Boston University.