Nick Morgan is a partner at DLA Piper, where he is the West Coast Chair of the
firm's Securities. Enforcement Practice. Mr. Morgan practices complex securities ...
Nick Morgan is a partner at DLA Piper, where he is the West Coast Chair of the firm’s Securities Enforcement Practice. Mr. 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 SEC and FINRA investigations, litigation, and arbitration. He also advises clients in non-litigation settings, such as counseling public companies, funds and broker-dealer firms in securities compliance and corporate governance issues, conducting internal investigations and assisting in regulatory examinations by the SEC's Division of Corporation Finance and Office of Compliance Inspections and Examinations. Mr. Morgan has represented several public companies in connection with whistleblower related investigations. 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, and was lead trial counsel on a wide variety of matters including insider trading, investment adviser fraud, revenue recognition fraud, broker/dealer and mutual fund fraud, and market manipulation. 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.
