Nick Morgan practices complex securities litigation in state and federal courts with special emphasis in representing issuers, officers and directors, investment funds, analysts, and brokers in connection with Securities and Exchange Commission and Financial Industry Regulatory Authority investigations, litigation, and arbitration.

For more than seven years, from 1998 to 2005, Mr. Morgan prosecuted securities fraud in the SEC’s Enforcement Division, rising from staff attorney to branch chief to senior trial counsel. Additionally, Mr. Morgan served as a Special Assistant U.S. Attorney for the Southern District of California, obtaining indictments against the principals of a $330 million subprime mortgage lending scheme.

While at the SEC, Mr. Morgan was lead counsel on a wide variety of litigated matters including prosecution of insider trading, investment adviser fraud, revenue recognition fraud, broker/dealer fraud, mutual fund market timing, and market manipulation. He was also lead trial counsel in a multi-week jury trial in the Southern District of California in which he obtained verdicts against the former CEO and CFO of a publicly traded company for violation of the antifraud provisions of the federal securities laws.

Mr. Morgan writes and speaks on SEC enforcement and securities litigation issues and has served as a faculty member, speaker, and panelist at conferences on corporate compliance and securities regulation. In 2007, Mr. Morgan received a Highly Commended Award from the Emerald Literati Network for the article "Recent developments in hedge fund enforcing and regulation by the SEC under the leadership of Chairman Cox suggest that he may not be the free market advocate everyone once thought he was." The article originally appeared in the Journal of Investment Compliance in 2006.

Reported Cases

• SEC v. PIMCO Advisors Fund Mgmt. LLC, et al., 341 F. Supp. 2d 454 (S.D.N.Y. 2005)
• SEC v. Treadway, et al., 354 F. Supp. 2d 311 (S.D.N.Y. 2005)
• SEC v. Treadway, 2005 U.S. Dist. LEXIS 15167 (S.D.N.Y. July 26, 2005)

认许

• California
• All California state courts
• United States Court of Appeals for the Ninth Circuit
• All California federal courts
• United States Court of Federal Claims

会员资格

• Association of SEC Alumni

出版物

• CSX Explained: Equity Swaps and Beneficial Owners, The Deal (June 17, 2008)
• Co-author (with Perrie Weiner), "The State of Hedge Fund Regulation in the United States," Hedge Funds in North America, the Caribbean and Asia Pacific, Tax Planning International: Special Report (Bureau of National Affairs, 2008)
• Thin end of the hedge, The Lawyer.com (January 21, 2008)
• The Rise, Fall (And Return?) Of Reg FD, Forbes.com (August 2007)
• Feds Ambiguous on State Role in Regulating Hedge Fund Industry, Los Angeles Daily Journal (November 30, 2005)
• The SEC's Increasing Use of Registration Revocation and Best Responses, 37 Sec. Reg. & Law 1335 (August 8, 2005)
  

Seminars

• The First 72 Hours of an Investigation--How to Hit the Ground Running, presented at Ernst & Young's national Fraud Investigation & Dispute Services Executive Conference 2008 (Scottsdale, July 2008)
• Why Regulators Hate Reverse Mergers, presented at The Reverse Merger Conference (Los Angeles, June 2008)
• SEC Enforcement Hot Topics, presented at RR Donnelley and West Legalworks Institute (Seattle, June 2007)
• SEC and Litigation Trends Update, panel presentation at Securities Industry and Financial Markets Association's Hedge Funds and Alternative Investments Conference (New York, May 2007)
• Staying Compliant With the SEC, presented at American Conference Institute's Hedge Fund Forum (New York, November 2006)
• Hedge Funds and SEC Enforcement, presented at Securities Industry Association's Hedge Funds and Alternative Investment Conference (New York, June 2006)
• The PIPEs Conference 2006, White Collar, Regulatory Agency and Civil Litigation Issues Relating to PIPE Transactions, New York, NY (November 7, 2006)
• Enron, Worldcom & Disney: The Revolution in Duties and Liability Beyond Sarbanes-Oxley, sponsored by The Directors Roundtable (March 2006)
• Breaking News …The Latest on SEC Enforcement, presented at LRN Knowledge Forum 2006 (February 2006)
• Securities Regulation Update, presented at the State Bar of Arizona Annual Convention (June 2002)
• Hot Issues: Trouble in the Cookie Jar: Does Your Compliance Program Match SEC Compliance & Enforcement Initiatives?, presented at the Practising Law Institute’s Advanced Corporate Compliance Workshop (July 2002 and February 2002)