Haimavathi V. Marlier

“ I bring a unique perspective to clients based on my career and life experience. I understand both the public and private sectors. I am well-situated to translate the client’s objectives to regulators, judges, and juries.

Haima is a distinguished former Securities & Exchange Commission (SEC) Senior Trial Counsel and served as the SEC’s lead counsel on a number of prominent enforcement litigations and investigations involving registered investment advisers, broker-dealers, banks, publicly traded companies, and individual traders.

She now puts those invaluable front-line skills and insights to work for the public companies and financial service providers she represents in internal and government investigations, SEC enforcement proceedings, and private securities and commercial litigation.

Haima has extensive experience litigating securities enforcement actions in the federal and administrative courts. She has also worked closely with U.S. federal prosecutors and the SEC’s specialized units focused on complex financial instruments and market abuse.

Beyond her significant SEC enforcement work, Haima has deep experience in private securities and commercial litigation matters, having worked previously for six years in private practice, including as a litigator at a leading global law firm.

Representative Experience:

• Matter of Anthony et al., SEC File No. 3-15514: Won bench trial against seven brokers and a supervisor charged with fraud and registration violations in connection with a $100+ million Ponzi scheme
• SEC v. Bronson et al., 17-2096 (2d Cir.): Successfully litigated complex microcap matter to affirmation by Second Circuit Court of Appeals of summary judgment order imposing over $12 million in civil penalties and disgorgement
• SEC v. Laidlaw Energy Group, Inc. et al., 13-cv-3837 (S.D.N.Y.): Secured favorable final judgment against issuer and CEO for insider trading, material misrepresentations in SEC filings, and Section 5 registration violations