Nathan M. Erickson

Nathan Erickson counsels clients on white collar civil and criminal regulatory matters, as well as internal investigations and parallel civil litigations. 

Individuals and companies across a range of industries turn to Nathan in connection with civil and criminal regulatory, compliance, and enforcement matters involving the US SEC, the Public Company Accounting Oversight Board, the US Department of Justice, and various other government regulators and self-regulatory organizations. 

Nathan embodies our dedication to meaningful pro bono work. He has represented the Innocence Project and the Innocence Network in connection with amicus curiae briefs submitted in litigations designed to educate courts about evidentiary issues concerning unvalidated forensic science disciplines. He was named to the 2020 Capital Pro Bono Honor Roll with High Honors, which recognizes attorneys who contributed at least 100 hours of pro bono service in the calendar year.

Nathan’s notable recent representations include:

• A senior legal executive in connection with civil and criminal regulatory investigations focused on internal controls over financial reporting and anti-money laundering compliance
• A CFO and Controller in connection with an SEC investigation concerning accounting and disclosure issues
• A data and analytics company in connection with a regulatory and internal investigation concerning its accounting and revenue recognition practices
• A dual-registered broker-dealer and investment adviser in connection with the SEC’s mutual fund share class selection disclosure initiative
• A financial insurance company, in connection with regulatory investigations and related civil litigations related to disclosure practices in connection with the sale of structured products
• A hedge fund founder and chief executive officer, in connection with criminal and civil insider trading investigations
• An asset manager, in connection with a DOJ investigation into valuation issues concerning the packaging and sale of residential mortgage-backed securities
• An asset manager, in connection with multiple SEC investigations concerning the structuring and management of collateralized debt obligations
• An investor, in connection with an insider trading investigation related to the activities of government affairs lobbyists
• A “Big Four” accounting firm executive, in connection with a financial fraud investigation involving one of the firm’s public company audit clients
• A “Big Four” accounting firm, in connection with an investigation involving auditor independence issues
• An investment adviser, in connection with an SEC industry sweep into structured credit trading and valuation practices
• An investment management company, in connection with an SEC industry examination concerning compliance with the Investment Adviser Act’s “pay-to-play” rule
• A public utility in connection, in connection with an internal compliance review and assessment of energy trading practices under the Federal Power Act
• A global financial institution, in connection with an internal investigation into compliance with state escheatment laws

Prior to joining the firm, Nathan was an extern at the SEC in Washington, DC.