Nicole K. Serfoss

Nicole K. Serfoss

Education

University of California, Los Angeles (B.A., 2002)
University of Colorado (J.D., 2005)

Bar Admissions

Colorado

Clerkships

Hon. Jose D.L. Marquez, Colorado Court of Appeals (2005-2006)

Nicole Serfoss is a member of Morrison & Foerster’s Securities Litigation, Enforcement, and White-Collar Defense Group.

She has more than a decade of experience representing clients in SEC and DOJ enforcement matters, corporate internal investigations, securities class actions, derivative suits, and mergers and acquisitions litigation. Ms. Serfoss represents companies, officers, directors, and auditors in a wide range of matters, including accounting and disclosures issues, whistleblower claims, and insider trading. Ms. Serfoss has also assisted clients in regulatory inquiries regarding their privacy and data security practices, including SEC investigations following high-profile data security incidents.

Ms. Serfoss was named a Colorado Rising Star by Super Lawyers in 2012. 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.

Ms. Serfoss 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.

Ms. Serfoss is an active member of the Colorado legal community, including membership in the Minoru Yasuii Inn of Court and the Colorado Women’s Bar Association.

Representative Matters

  • Represented a Fortune 500 company in a SEC investigation following a high-profile data security incident. Following document production and witness testimony, matter was closed without any enforcement action.
  • Defended Crocs, Inc., and certain of its officers and directors, in a shareholder class action in Colorado federal court. Won dismissal of all claims with prejudice pursuant to the Securities Litigation Reform Act of 1995 on a first motion to dismiss.
  • Obtained a favorable settlement of a derivative action on behalf of an investor advisor.
  • Conducted an internal investigation for a security company regarding reimbursement expenses, internal controls, and disclosures.
  • Represented the audit committee of an international company in its internal investigation resulting from a whistleblower complaint alleging violations of the Foreign Corrupt Practices Act. After completion of the investigation and reporting the results to the SEC, it declined to conduct an investigation of its own and closed the file.
  • Represented a company in a Regulation FD inquiry by the SEC. Matter was closed without enforcement action.
  • Represented a former trader at a large brokerage firm in a DOJ investigation of conspiracy and manipulation in a municipal securities market. No action taken against client after interview by DOJ.
  • 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.
  • Represented the directors and officers of a public company in a SEC investigation concerning insider trading. Matter was closed without any enforcement action.

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