200 S Biscayne Blvd
Miami, Florida 33131
Ivan P. Harris is a partner in Morgan Lewis's Litigation Practice. Mr. Harris represents public companies and their employees, financial institutions, securities industry professionals, and other entities and individuals in investigations, examinations, and litigation before the SEC, FINRA, NYSE, and other securities regulators. He also regularly advises securities industry clients on compliance and regulatory issues. Mr. Harris's background includes senior positions at the SEC and a position as in-house counsel at a financial services firm. From 2001 to 2005, he was an assistant regional director for enforcement in the SEC's Miami Office, which he joined in 1998.
Since joining the firm, Mr. Harris has represented hedge fund and securities industry clients with respect to regulatory investigations and examinations involving asset-backed and mortgage-backed securities, auction rate securities, and hedge fund and mutual fund valuation practices. He has also represented public companies and their officers and directors in SEC investigations involving financial accounting practices and insider trading. Additionally, Mr. Harris counsels clients on a variety of Foreign Corrupt Practices Act (FCPA) related issues, including investigations, due diligence, and training.
While at the SEC, Mr. Harris led an SEC investigation of a major hedge fund collapse and an investigation of the first SEC case involving illegal hedge fund short selling. He also developed a background in international securities cases, having investigated major accounting, financial disclosure, stock manipulation, and Foreign Corrupt Practices Act (FCPA) matters with connections to Europe and Latin America.
Immediately prior to joining Morgan Lewis, Mr. Harris served as the regulatory counsel for a financial services firm, where he advised on trading issues and compliance matters pertaining to the firm's hedge fund and broker-dealer operations. He also served on several securities industry committees that focused on issues relevant to fixed income trading and securitized products.
Mr. Harris is a frequent speaker at securities industry and hedge fund conferences. Before joining the SEC in 1998, he practiced in the litigation departments of two New York law firms. Mr. Harris is admitted to practice in Florida and New York and before the U.S. District Court for the Southern District of Florida.
|Areas of Practice||1) Litigation, 2) Broker-Dealers, 3) Securities Litigation & Enforcement, 4) Investment Management, 5) Broker-Dealer & Capital Markets Regulation and 6) Financial Services|
|Law School||Duke University School of Law|
|Education||University of Pennsylvania, 1991, B.A., University of Pennsylvania, Wharton School of Business, 1991, B.S.|
|Bar Member / Association||State Bar Of Florida, State Bar Of New York|
|Most recent firm||Morgan, Lewis & Bockius LLP|
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