Nick Morgan

Founder & President

Investors Choice Advocates Network

Nick Morgan is the President and Founder of Investor Choice Advocates Network, a nonprofit public interest litigation organization dedicated to serving as a legal advocate and voice for small investors and entrepreneurs whose efforts are too often impeded by government regulation. With over two decades of legal expertise, he previously served as a litigation partner at Paul Hastings LLP, focusing on securities enforcement defense. Earlier in his career, Morgan was a Senior Trial Counsel at the SEC, where he prosecuted complex securities fraud cases. His extensive experience makes him a prominent advocate for investor choice protection and securities law reform.

    Topic

    3:45 PM - 4:25 PM

    Thursday November 14 2024

    What you Need to Know About the SEC's Enforcement Campaign Against Convertible Debt PIPE Investors

    • Overview of the ~20 actions against PIPE investors for failing to register as “dealers”
    • Understanding the SEC’s argument and the factors to be considered as to whether a PIPE investor is a dealer
    • Discussion of the consequences to the PIPE market
    • How investors can protect themselves
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