Nicole Geoglis advises private investment funds and financial institutions in litigation, bank regulatory and financial services matters involving securities, trading compliance, anti-money laundering, and Bank Secrecy Act compliance and OFAC sanctions programs. She also handles internal investigations, regulatory examinations and investigations conducted by regulators such as the Securities and Exchange Commission, FINRA and the Office of the Comptroller of the Currency.

Publications

“Sanctions Update: Iran, Venezuela and Russia,” SRZ Alert, Nov. 13, 2018 (co-author)

“Arrest of FinCEN Employee for Unlawful Disclosure of SARs and SAR Information,” SRZ Alert, Oct. 19, 2018 (co-author)

Venezuela Sanctions Complicate Compliance for Companies, Law360, June 25, 2018 (co-author)

New Licenses May Ease Ukraine, Russia Business Wind-Downs, Law360, June 19, 2018 (co-author)

Sanctions Update: Venezuela and Ukraine/Russia,” SRZ Client Alert, June 4, 2018 (co-author)

“Sanctions and AML Update: North Korea and Venezuela,” SRZ Alert, Sept. 27, 2017 (co-author); republished in The Hedge Fund Journal, October 2017

“Sanctions Update: Russia, Iran, North Korea and Venezuela,” SRZ Alert, Aug. 2, 2017 (co-author); republished in The Hedge Fund Journal, August 2017

“Statutory Background” and “What Is a Security?,” Insider Trading Law and Compliance Answer Book (Practising Law Institute), 2016 (contributor)

“Sanctions Update: Crimea,” SRZ Client Alert, Feb. 5, 2015 (co-author); republished in Westlaw Journal – Securities Litigation & Regulation, March 5, 2015