With a background in senior positions at the US Securities and Exchange Commission (SEC) and as in-house counsel at a financial services firm, Ivan Harris brings insights to securities investigations, examinations, and litigation. He represents public companies, financial services firms, and individuals before the SEC, the Financial Industry Regulatory Authority (FINRA), the Chicago Board Options Exchange (CBOE) and various stock exchanges. Clients in the securities industry regularly seek Ivan’s advice on compliance and regulatory matters.
Ivan represents public companies, financial institutions including investment banks, regional broker-dealers, hedge funds and private equity funds, municipal issuers and their employees in investigations by the SEC, FINRA, CBOE and other securities regulators. In the public company and municipal arena, Ivan has handled matters for clients involving financial accounting practices, issuer disclosures, Foreign Corrupt Practices Act (FCPA) violations, and insider trading. He regularly counsels large investment banks, clearing firms and other broker-dealers on complex investigations involving trading practices, market structure issues, anti–money laundering compliance, and other rules and regulations. Ivan has also represented hedge fund and private equity firms facing regulatory investigations and examinations relating to valuation practices, complex trading issues, potential use of inside information, and issues relating to fees and expense practices.
Ivan previously served at the SEC from 1998 to 2005, and from 2001 to 2005 was an assistant regional director for enforcement in the SEC's Miami office. While at the SEC, he led the investigation of a major hedge fund collapse, brought the first SEC case involving illegal hedge fund short selling, and prosecuted cases involving accounting fraud, insider trading, FCPA violations, market manipulation and broker-dealer/investment adviser violations. Several of those cases involved cross-border issues and investigative efforts throughout Europe and Latin America.
Also before joining Morgan Lewis, Ivan was regulatory counsel for a financial services firm, where he advised on trading issues and compliance matters. He also served on several securities industry committees that focused on fixed income trading and securitized products.
Ivan frequently speaks at securities industry and hedge fund conferences.
Duke University School of Law, 1994, J.D.
University of Pennsylvania, 1991, B.A., Cum Laude
University of Pennsylvania, Wharton School of Business, 1991, B.S., Cum Laude
U.S. District Court for the Southern District of Florida
Awards and Affiliations
Member, Duke Law Alumni Association Board of Directors
Listed, Chambers USA: America's Leading Lawyers for Business (2012–2015)