Nicole D. Horowitz
Nicole Horowitz is an associate in Ropes & Gray’s Litigation and Enforcement group. Her practice covers a broad range of civil litigation, including securities, antitrust, and complex commercial disputes, SEC enforcement matters, internal investigations, and international risk assessment. Nicole has experience in all stages of litigation, including drafting pleadings and dispositive motions, managing all aspects of discovery, and representing clients at depositions and hearings. Nicole regularly advises private equity sponsors, investment advisers, and multinational companies on international risk issues related to transactions and investments. She also assists clients in developing and enhancing their compliance programs.
Nicole holds a Masters in Art Business and previously worked for a major art collector. Given her background in the arts and fluency in Spanish, she focuses her pro bono efforts on advising arts organizations, such as the San Francisco Museum of Modern Art (SFMOMA), and obtaining grants of asylum for clients from Central America. Stemming from the relationship with SFMOMA, Nicole completed a secondment in 2018 during which she assisted the museum in establishing its litigation protocols, among other projects.
During law school, Nicole worked as an extern for the Honorable Edward M. Chen at the United States District Court for the Northern District of California, for the Honorable Barbara Jaffe in the New York State Supreme Court, and on the Government Team of the San Francisco Office of the City Attorney.
- Welgus v. TriNet et al., 2017 WL 6466264 (N.D. Cal.): Obtained dismissal, and affirmance of dismissal by the Ninth Circuit, on behalf of TriNet, its officers, and directors of class action claims asserted against them under the Securities Exchange Act and Securities Act based on TriNet’s IPO, secondary offering, and subsequent filings.
- Represented a global pharmaceutical company in litigation in the Northern District of California asserting claims under the Lanham Act against competitors’ false and misleading marketing of unapproved drug products as FDA-approved generics for client’s NDA-approved prescription drug.
- Secured successful settlement for private equity client and its portfolio company in dispute involving breach of contract, tort, and antitrust issues. Prior to settlement, managed federal litigation of claims through pleadings, motion practice, and discovery.
- Defended client in preparation for and during two-week arbitration of contract dispute.
- Represented electronics manufacturer in multidistrict antitrust class action litigation.
- Represented major multinational technology company in responding to regulator’s allegations of antitrust violations.
- Analyzed FCPA and litigation risk through diligence on behalf of private equity firms and strategic buyers.
- Developed third party due diligence program for international consumer products company.
- Counseled investment advisers and fund managers in connection with SEC examinations and enforcement matters, including responses to exams, deficiency letters, and investigative subpoenas.
- Conducted mock SEC examination of multi-billion dollar investment advisor.
- Co-author, “Managing Money Laundering Risk In The Art Trade,” Law360 (January 16, 2020)
- Note, “Price-Fixing the Priceless? Discouraging Collusion in the Secondary Art Market,” 66 Hastings L.J. 331 (2014)
- JD, magna cum laude, University of California, Hastings College of the Law, 2015; senior managing editor, Hastings Law Journal; Thurston Honor Society
- MA (Art Business), University of Manchester, 2011
- BA (Art History), Northwestern University, 2009