Claudette advises on a broad range of regulatory, compliance, and securities law matters for U.S. and global financial institutions, broker-dealers, investment advisers, fintech companies, asset managers, exchanges, and investors, with experience spanning traditional securities offerings to digital assets and alternative investments.
Experience
Representative matters
Representative matters
Advised Multicoin Capital on regulatory aspects related to investment in Forward Industries' $1.65-billion private placement to initiate Solana treasury strategy (advised on prior to Reed Smith).
Advised Nomura on regulatory aspects related to its entry into an agreement to acquire Macquarie ‘s U.S. and European public asset management business for $1.8 billion (advised on prior to Reed Smith).
Advised PAG on U.S. regulatory matters related to its private funds, including advice under the Investment Advisers Act and Securities Exchange Act (advised on prior to Reed Smith).
Representative Experience
Advised Multicoin Capital on regulatory aspects related to investment in Forward Industries' $1.65-billion private placement to initiate Solana treasury strategy (advised on prior to Reed Smith).
Advised Nomura on regulatory aspects related to its entry into an agreement to acquire Macquarie ‘s U.S. and European public asset management business for $1.8 billion (advised on prior to Reed Smith).
Advised PAG on U.S. regulatory matters related to its private funds, including advice under the Investment Advisers Act and Securities Exchange Act (advised on prior to Reed Smith).
Advised Franklin Templeton Institutional and its Hong Hong-based subsidiary on U.S. regulatory matters, including the establishment of an offshore adviser (advised on prior to Reed Smith).
Represented a U.S. broker-dealer on the sale of its majority interest to a large international pension fund (advised on prior to Reed Smith).
Advised a new manager on the launch of funds relying on AI technology, addressing novel Investment Advisers Act issues and related fund structure (advised on prior to Reed Smith).
Advised an ATS on its formation and registration, including advice connected to the creation of a new product and blockchain-related recordkeeping (advised on prior to Reed Smith).
Credentials
Education
Education
- Boston University School of Law, 1998, J.D.
- Tulane University, 1994, B.A.
Professional admissions & qualifications
Professional admissions & qualifications
- Massachusetts
- New York
News
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Insights
Insights
PLI: Securities Investigations: Internal, Civil and Criminal
FINRA Investigations
Insights
PLI: Securities Investigations: Internal, Civil and Criminal
The SEC’s Division of Investigations
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