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Securities Enforcement

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<p>Unsolicited e-mails and information sent to Morrison Foerster will not be considered confidential, may be disclosed to others pursuant to our <a href="https://www.mofo.com/about/privacy-policy.html"><u><em>Privacy Policy</em></u></a>, may not receive a response, and do not create an attorney-client relationship with Morrison Foerster. If you are not already a client of Morrison Foerster, do not include any confidential information in this message. Also, please note that our attorneys do not seek to practice law in any jurisdiction in which they are not properly authorized to do so.</p>

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Our team includes attorneys who have held senior positions with the SEC’s Divisions of Enforcement, regularly advising on corporate governance and finance law.

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Case Studies

AIG’s Annual D&O Debate 2025

Securities Enforcement Forum D.C. 2025

Key Updates Since the White House Crypto Report

FIA's 2025 Commodities Conference

Stanford Institutional Investors' Forum 2025

Securities Enforcement Forum West 2025

Events

<p><em>Law360</em></p>

9th Circ. Robinhood Ruling May Alter Intraquarter Disclosures

The SEC Backs Down in Landmark Cybersecurity Enforcement Case Against SolarWinds and Its CISO

Top 10 International Anti-Corruption Developments for October 2025

Top 5 SEC Enforcement Developments for September 2025

Sec Lit IQ: MoFo’s Quarterly Federal Securities Litigation and Delaware Corporate Litigation Newsletter (Q3 2025)

Top 10 International Anti-Corruption Developments for September 2025

Insights

Morrison Foerster Earns Top Rankings in 2026 Best Law Firms® Report

Bloomberg Law: SEC Zeroes in on Insider Trading and Offering Fraud Under Atkins

Three MoFo Lawyers Recognized as 2025 BTI Client Service All-Stars

<p><em>PlanAdvisor</em></p>

What Can the SEC Do With AI?

Gerardo Gomez Galvis Selected as a 2025 MCCA Rising Star

<p><em>Private Equity Law Report</em></p>

Six Steps to Address the SEC’s Trump Era Cyber Enforcement Priorities

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<p>Haima Marlier is a partner in Morrison Foerster’s Investigations + White Collar Defense Group and co-chairs both its Fintech and Securities Enforcement practices. Drawing on her experience as a former Securities and Exchange Commission (SEC) senior trial counsel, Haima represents public and private companies, financial services providers, and executives, directors, and other individuals in SEC, Commodity Futures Trading Commission (CFTC), Financial Industry Regulatory Authority (FINRA), state securities regulator, and internal investigations, as well as in related litigation. She has more than 20 years of experience litigating in federal, state, and administrative courts, leading complex negotiations, and representing her clients in mediation. She also counsels clients regarding securities enforcement developments, trends, and risk mitigation.</p><p>Before joining the firm, Haima spent nearly a decade in the SEC’s Division of Enforcement. While at the SEC, Haima served as lead counsel on a number of prominent enforcement litigations and investigations involving public companies, registered investment advisers, broker-dealers, banks, and individuals in matters arising under the federal securities laws. She has also worked closely with foreign securities regulators, numerous U.S. attorneys’ offices, and FINRA.</p><p>Haima is a member of <em>Law360</em>’s Securities Editorial Board, serves on the advisory board of Securities Docket, and is on the Board of Trustees of the SEC Historical Society. She mentors Penn State students of color who aspire to become lawyers and is a member of the board of directors of, and a volunteer running coach for, Girls on the Run New Jersey, a nonprofit dedicated to inspiring girls to recognize their inner physical and emotional strengths. She maintains an active pro bono practice.</p><p>Haima has been recognized by <em>Chambers USA </em>for Securities Regulation: Enforcement and Crypto-Asset Disputes;<em> Crain’s New York Business</em>’s Notable Women in Law and Notable Diverse Leaders in Law; <em>The Legal 500 US</em> as a recommended lawyer in Securities Litigation: Defense, Investigations and White Collar Criminal Defense, and Fintech; <em>Securities Docket’s </em>Enforcement Elite; and the <em>New York Law Journal</em> for her efforts in the diversity and inclusion space.</p><p>Haima received her J.D. from Boston College Law School and her B.A. from The Pennsylvania State University.</p><h4>Representative Experience</h4><h5>Cybersecurity</h5><ul><li>Successfully resolved an SEC investigation into a global technology solutions company’s cybersecurity risk disclosures and disclosure controls, policies, and procedures, with an acknowledgment by the SEC of the client’s significant remediation and cooperation.</li><li>Representing a global tech service management company in an SEC inquiry into its cybersecurity incidents and disclosures.</li><li>Represented numerous public companies and other clients in the SEC’s SolarWinds cybersecurity enforcement sweep.</li><li>Advising numerous public companies and SEC-registered firms on the efficacy of their cybersecurity disclosure controls and procedures and the materiality of cybersecurity incidents.</li><li>Represented a major technology company in an internal investigation into its cybersecurity statements and controls, policies, and procedures.</li></ul><h5>Fintech & Crypto</h5><ul><li>Represented a nonprofit foundation supporting a major blockchain, as well as two of its senior individuals, in an SEC investigation, with a complete termination letter issued by the SEC.</li><li>Successfully resolved an SEC crypto investigation into anti-money laundering and other compliance and monitoring programs on behalf a former senior bank executive.</li><li>Representing a leading cryptocurrency exchange platform in responding to SEC, CFTC, and state attorney general subpoenas and other requests for information.</li><li>Obtained a successful federal court settlement for a venture capital fund in a securities class action concerning an unregistered digital token offering.</li><li>Advising numerous Fintech companies, from startups to mature organizations, on securities enforcement compliance best practices and enforcement risk mitigation.</li><li>Represented a private investor in an SEC investigation related to a reverse merger involving a cryptocurrency company with no action taken by the SEC.</li></ul><h5>Artificial Intelligence</h5><ul><li>Representing a major tech company in an SEC investigation focused on AI-related disclosures and policies.</li></ul><h5>Accounting & Financial Reporting</h5><ul><li>Represented the former Chief Operations Officer of a major NASDAQ-listed food distributor in SEC and special committee investigations, with a complete termination letter issued by the SEC, as well as in related Delaware Court of Chancery litigation, which was favorably resolved.</li><li>Successfully resolved SEC and special committee investigations into related-party transaction disclosures and accounting issues, as well as related shareholder litigation, on behalf of a former CEO of a NASDAQ-listed company.</li><li>Represented an audit committee of a public company in an internal investigation resulting from a whistleblower complaint alleging accounting and disclosure issues.</li><li>Represented a leading public company in an internal investigation resulting from a whistleblower complaint alleging accounting and disclosure issues.</li></ul><h5>Other Securities Enforcement Matters</h5><ul><li>Represented the former CEO of a major company listed on the New York Stock Exchange in an SEC insider trading investigation with no action taken by the SEC.</li><li>Represented an individual in an SEC investigation concerning the “pay-to-play” rule.</li><li>Represented a private investment fund in a COVID-19 related SEC insider trading investigation with no action taken by the SEC.</li><li>Represented a broker-dealer in a for-cause FINRA examination into anti-money laundering and other issues.</li><li>Represented a leading international company in government investigation into pharmaceutical drug pricing.</li><li>Represented a biotech company in a Massachusetts Securities Division investigation concerning securities registration exemptions and representations to investors regarding securities registration with no action taken by the state regulator.</li><li>Obtained a successful resolution for a pre-IPO biotech company in a wrongful termination lawsuit brought by a co-founder and former CEO terminated by the board of directors.</li><li>Represented the SEC in all stages of federal and administrative proceedings, including at trial and on appeal, in matters involving violations of the federal securities laws.</li></ul>

Haimavathi Marlier

Partner

<p>Nicole Serfoss is a partner in Morrison Foerster’s Securities Litigation and Investigations + White Collar Defense groups and co-chairs its Securities Enforcement practice.</p><p>Nicole has two decades of experience representing clients in SEC enforcement matters, corporate internal investigations, securities class actions, and shareholder derivative suits. She represents companies, officers, and directors in a wide range of matters involving alleged accounting and disclosure issues. She also frequently assists audit and special committees with investigations following allegations of corporate misconduct.</p><p>Nicole was named to Securities Docket’s “Enforcement Elite” list in 2025 and has also been recognized as a “Colorado Rising Star” by Super Lawyers. She has tried over a dozen cases as a special prosecutor in the Denver City Attorney’s Municipal Court Trial Advocacy Program. She is also committed to pro bono service and has received the Wiley W. Manuel award for pro bono legal services.</p><p>Nicole received her B.A. in history from UCLA, magna cum laude, and graduated Order of the Coif from the University of Colorado School of Law. After law school, she clerked for the Honorable Jose D.L. Marquez of the Colorado Court of Appeals.</p><p>Nicole is an active member of the Colorado legal community, including membership in the Women’s White Collar Defense Association and the Colorado Women’s Bar Association.</p><h4>Representative Experience</h4><ul><li>Represented the audit committee of a large, multinational software corporation in an internal investigation into allegations raised by a former employee regarding certain non-GAAP accounting practices.</li><li>Represented Farmland Partners and its CEO and CFO in a federal securities fraud class action in the District of Colorado. Won summary judgment dismissing all claims against our clients. Won motion to dismiss a related derivative action in Maryland state court with prejudice.</li><li>Represented more than two dozen audit and special committees in internal investigations resulting from whistleblower complaints alleging accounting and disclosure issues.</li><li>Represented a Fortune 500 company in an SEC investigation following the company’s announcement of the then-largest data breach in history. Negotiated a favorable consent order with the SEC.</li><li>Represented a Fortune 500 company in an SEC investigation after a high-profile data security incident. Following document production and witness testimony, the matter was closed without any enforcement action.</li><li>Represented Boulder Brands in three lawsuits: a shareholder securities class action in which the district court granted the defendants’ motion to dismiss with prejudice, a related derivative action that was voluntarily dismissed, and a separate shareholder merger challenge settled based upon disclosure updates.</li><li>Defended Crocs and certain of its officers and directors in a securities class action and derivative litigation matter. Won dismissal of federal securities class action against Crocs and individual defendants with prejudice.</li><li>Represented a former CFO in a settlement of securities litigation, derivative litigation, and a related SEC investigation.</li><li>Represented a Fortune 500 company in a Regulation FD inquiry by the SEC. The matter was closed without enforcement action.</li><li>Represented a company operating a national person-to-person lending platform in investigations conducted by the SEC and dozens of states. Successfully negotiated a settlement of all actions on favorable terms for company.</li></ul>

Nicole K. Serfoss

<p>Kim Hamm is co-chair of Morrison Foerster’s Congressional Investigations and Securities Enforcement practices and a partner in the firm’s Investigations + White Collar Defense practice. Kim has served in senior positions in the U.S. Congress and Securities and Exchange Commission (SEC), providing her with the political acumen and legal judgment needed to advise clients on successfully navigating the challenges of today’s increasingly polarized environment.<br></p><p>Leveraging her private practice and senior government experience, Kim advises public companies, financial institutions, technology firms, and nonprofits on high-stakes state and federal investigations. She has represented corporate clients in matters before multiple House and Senate committees, bringing deep insight into both the investigative process and the broader political context. <br></p><p>Kim’s experience in congressional investigations spans nearly all congressional committees. She most recently served as General Counsel to a former Speaker of the U.S. House of Representatives, where she oversaw congressional investigations across committees and provided strategic legal advice to House leadership and committees. Earlier in her career, Kim served as a senior lawyer in the Office of the General Counsel in the U.S. House of Representatives, where she advised nearly all House committees on investigations and litigation and represented them in subpoena enforcement litigation, including <em>In re Subpoena of James Comey</em> (D.D.C.), <em>Bean LLC d/b/a Fusion GPS v. John Doe Bank</em> (D.D.C.), and <em>Comm. on Oversight & Gov’t Reform v. Lynch</em> (D.D.C.). She also conducted investigations as Chief Counsel for Investigations on the Senate Rules Committee.<br></p><p>From 2019 to 2021, Kim served as Chief Counsel to the Chairman of the SEC, where she guided regulatory initiatives across all divisions of the Commission and advised on significant legal and policy issues spanning cross-border regulation, financial stability, major market events, and congressional oversight. Kim also led advocacy and external engagement for a leading global asset management firm in the areas of financial stability, corporate governance, and regulatory frameworks impacting investment funds.<br></p><p>Prior to joining MoFo, Kim was the head of the congressional investigations practice at another major law firm. Kim began her legal career in the litigation department of an international law firm, where she practiced for more than a decade in New York and London, representing clients in complex securities, compliance, antitrust, insurance, regulatory, and internal investigation matters. She received her B.A. from the University of Florida and her J.D. from New York University School of Law.<br></p><h4>Representative Experience<br></h4><ul><li>Represented a global fintech company in a congressional investigation.<br></li><li>Advised a leading technology company on a congressional engagement.<br></li><li>Represented a prominent private equity firm in a congressional investigation.<br></li><li>Counseled several financial institutions on ESG-related congressional and state AG investigations.<br></li><li>Represented a higher education institution in a congressional investigation.<br></li><li>Assisted multiple companies with congressional testimony by their CEO.<br></li><li>Advised leading asset managers and financial institutions on strategic public policy matters.</li></ul>

Kimberly Hamm

Above Board: 2025 Proxy Season Recap

When Your Life Sciences Are on the Line: Securities Enforcement

Above Board: Managing AI in the Boardroom

MoForecast: Predictions on State Attorneys General Securities Fraud Enforcement

When Your Life Sciences Are on the Line: Cybersecurity

Above Board: Developments in DEI Litigation and Enforcement

Podcasts

Fintech

Broker-Dealer Compliance + Regulation

Capital Markets

False Claims Act

FCPA + Global Anti-Corruption

Lending + Financial Transactions

Health Care Fraud

Investigations + White Collar Defense

IPOs

Securities Litigation

State + Local Government Enforcement

Crisis Management

Haima Marlier Joins Ethicast to Discuss Compliance, Enforcement, and Regulatory Trends for Emerging Technologies

Video + Audio

Securities Enforcement

Ranked in Dispute Resolution: Corporate Investigations and White-Collar Criminal Defense: Advice to Corporates

Top 30 Investigations Practices

Ranked in Litigation – Regulatory Enforcement (SEC, Telecom, Energy)

Ranked in Corporate Crime & Investigations: The Elite (USA – Nationwide)

Ranked in Dispute Resolution: Corporate Investigations and White-Collar Criminal Defense: Advice to Corporates

Top 30 Investigations Practices

Ranked in Litigation – Regulatory Enforcement (SEC, Telecom, Energy)

Ranked in Corporate Crime & Investigations: The Elite (USA – Nationwide)

Ranked in Dispute Resolution: Corporate Investigations and White-Collar Criminal Defense: Advice to Corporates

Top 30 Investigations Practices

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