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52nd Rocky Mountain Securities Conference

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Kelly Howes, Co-Chair of Investment Management practice and Vice-Chair of the CBA’s Securities Sub-Committee, along with industry peers, will be presenting the Welcoming Remarks at the 52nd Rocky Mountain Securities Conference.

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Kelly Howes, Co-Chair of Investment Management practice and Vice-Chair of the CBA’s Securities Sub-Committee, along with industry peers, will be presenting the Welcoming Remarks at the 52nd Rocky Mountain Securities Conference. The conference brings together leading experts to discuss the latest developments in securities law, compliance, and regulation. This year's conference features a lineup of distinguished speakers, including SEC officials, prominent lawyers, and industry experts. Attendees will have the opportunity to learn about the latest trends and best practices in securities law, network with peers, and earn CLE credits.We are eager to see familiar faces and make new connections!<hr>

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Kelley Howes is co-chair of the Investment Management Group, co-head of the Securities + Derivatives Regulatory Solutions team, and managing partner of the firm’s Denver office.Kelley has over 30 years’ experience advising U.S. registered investment companies (including mutual funds, exchange traded funds, and interval funds), business development companies, registered investment advisers, and exempt reporting advisers on a wide range of legal, regulatory, and compliance matters. She also counsels clients regarding investment company status matters under the Investment Company Act.Recognized as a go-to counsel for independent fund trustees, Kelley frequently advises registered funds and their trustees on corporate governance, compliance, and regulatory matters, mergers and reorganizations, and regulatory examination and enforcement matters.Kelley is consistently recognized as a top advisor in Chambers USA and Chambers Global, receiving multiple distinctions for Registered Funds. She has also been recognized in the Finance: Fintech category of The Legal 500 US awards.Prior to joining Morrison Foerster, she served as executive vice president and general counsel of Janus Capital Group Inc., a NYSE-listed global asset management holding company. She also previously served as senior vice president and general counsel of Janus Capital Management LLC, a U.S. registered investment advisory subsidiary of Janus Capital Group, and as president of the Janus funds and president of Janus Distributors LLC.Kelley previously served as a director of Young Americans Bank/Young Americans Center for Financial Education, ICI Mutual Insurance Company, and the Denver Metro Chamber of Commerce.

Kelley Howes

Co-Chair of Investment Management Group

Nicole Serfoss is a partner in Morrison Foerster’s Securities Litigation and Investigations + White Collar Defense groups and co-chairs its Securities Enforcement practice.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.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.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.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.<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

Partner

Investment Management

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52nd Rocky Mountain Securities Conference

11 May 2023 8:15 AM - 4:20 PM MDT