Nick Morgan
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
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