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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.

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 a Partner in the firm's Denver office and Co-Chair of the Investment Management Group.Kelley has experience with a wide range of legal, regulatory, compliance, corporate governance, insurance, and other matters relating primarily to the representation of U.S. registered and unregistered investment companies, offshore funds, registered investment advisers, transfer agents, and broker-dealers.Kelley has counseled independent fund directors on governance issues, and has advised mutual funds on mergers, reorganizations, compliance, and regulatory matters, including examinations and enforcement matters. She has also advised public companies with regard to corporate governance and various corporate transactional matters, including mergers and acquisitions, subsidiary ownership issues, and equity and debt issuances.She has more than 20 years’ experience in investment management-related matters. 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 is ranked by Chambers for her expertise in Registered Funds and is also recognized by Legal 500 for Finance: Fintech. She was named “Top Lawyer" for Securities in the 2022 guide of 5280, Colorado's largest local publication.During her time at Suffolk University School of Law, Kelley was a member of the Suffolk Transnational Law Review.

Kelley Howes

Co-chair of Investment Management Group

Nicole Serfoss is a partner in Morrison Foerster’s Securities Litigation, Securities Enforcement, and Investigations + White Collar Defense Group.Nicole has more than 15 years 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 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.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 Minoru Yasui American Inn of Court, the Women’s White Collar Defense Association, and the Colorado Women’s Bar Association.<h4>Representative Experience</h4><ul><li>Represented Farmland Partners—a real estate investment trust (REIT) traded on the New York Stock Exchange—and its CEO and CFO in a federal securities fraud class action in the District of Colorado and in a related derivative matter in Maryland state court. Won summary judgment dismissing all claims against our clients in the federal securities class action. No appeal was filed. Won motion to dismiss derivative action with prejudice.  </li><li>Represented more than a 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 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, Inc., 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 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