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Caroline J. Lambert

Associate
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Caroline Lambert focuses her practice on white collar and government investigations and regulatory compliance. She 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 Lambert focuses her practice on white collar and government investigations and regulatory compliance. She 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.

She 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 U.S. companies navigating USTDA submissions, export controls, sanctions and other regulatory controls.

She is also an Adjunct Professor teaching POL201: Mock Trial at Stonehill College.

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CREDENTIALS
Education
  • J.D., cum laude, Boston University School of Law, 2019
    Concentration in International Law, with honors
    Managing Editor, International Law Journal
  • B.A., Interdisciplinary Studies and Political Science, magna cum laude, Stonehill College, 2016
    Moreau Honors Scholar
Bar Admissions
  • Massachusetts
Professional Affiliations
    • Member, Boston Bar Association