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 Marlier is a former SEC Senior Trial Counsel and a partner in Morrison & Foerster's Securities Litigation, Securities Enforcement, and Investigations + White Collar Defense groups.

Haima represents public and private companies and financial services providers in internal and government investigations, SEC enforcement proceedings, securities class actions, and complex commercial litigation. She joined the firm after nine years at the SEC’s New York office, which bears responsibility for regulating the largest concentration of SEC-registered financial institutions in the nation. She has extensive experience litigating in federal and administrative courts, leading complex negotiations, and representing her clients in mediation. She also routinely counsels clients regarding, and is a speaker on, compliance-related issues such as disclosures, insider trading, digital offerings, and other topics of interest to the SEC.

At the SEC, Haima served as lead counsel on a number of prominent enforcement litigations and investigations involving publicly-traded companies, registered investment advisers, broker-dealers, banks, and individual traders in matters arising under the Securities Act of 1933, the Securities Exchange Act of 1934, and the Investment Advisers Act of 1940. She has also worked closely with the SEC’s specialized units focused on complex financial instruments and market abuse, foreign securities regulators, numerous U.S. Attorney’s Offices, and FINRA.

Haima maintains an active pro bono practice focused on environmental matters and improving the access of all communities to natural spaces. She also mentors Penn State students of color who aspire to become lawyers.

Haima’s notable private and public sector experience includes:

• Representing public companies in securities class actions, derivative litigations, shareholder actions for injunctive relief, SEC investigations, and internal investigations
• Representing private fund clients in appraisal actions and compliance with SEC rules and regulations
• Representing audit committees in internal investigations
• Representing the SEC in all stages of federal and administrative proceedings, including at trial and in the Second Circuit Court of Appeals, in matters involving violations of the federal securities laws, including:
  • 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