Nicki Locker

Partner at Wilson Sonsini Goodrich & Rosati PC

Nicki Locker

Nicki Locker

Partner at Wilson Sonsini Goodrich & Rosati PC

Biography

Partner
Litigation

EXPERIENCE:

Nicki Locker is the securities litigation practice group leader at Wilson Sonsini Goodrich & Rosati. An experienced litigator, Nicki has represented companies and their officers and directors in more than 100 shareholder class actions and derivative suits throughout the United States.

Nicki also has substantial experience in corporate internal investigations and SEC investigations and enforcement proceedings. She has advised numerous boards and special committees in internal investigations regarding accounting improprieties, FCPA violations, stock option backdating, insider trading, off-label marketing, and embezzlement. Nicki has represented over 20 companies in government investigations and has served as personal counsel to dozens of executives and directors in SEC matters.

Nicki was honored as a "BTI Client Service All-Star" for 2016 and was selected by the 2007-2018 editions of Chambers USA as one of the top securities litigator.

Nicki has been at the firm since 1985. Among other leadership roles, she has served as a member of the firm's Policy Committee and Board Nominating Committee and chair of the Partner Nominating Committee.

After graduating from Stanford Law School in 1984, Nicki clerked for the Honorable Anthony Kennedy of the U.S. Court of Appeals for the Ninth Circuit. Nicki has been at Wilson Sonsini Goodrich & Rosati since 1985.

SELECT CLIENTS IN SHAREHOLDER LITIGATION:

Hardware Companies:

* A10 Networks
* Agilent Technologies
* Brocade Communication Systems
* Capstone Turbine
* Coherent
* Juniper Networks, Inc.

Software Companies:

* Marketo, Inc.
* Novell
* Rocket Fuel
* Salesforce.com
* Sybase
* Veritas Software

Life Sciences Companies:

* Guidant Corporation
* Intrexon Corporation
* Invuity
* Juno Therapeutics
* Pacific Biosciences

Non-Technology Companies:

* Bridgepoint Education
* Landry's Seafood Restaurants
* Strayer Education
* U.S. Auto Parts

Please click here to view a complete list of clients.

SELECT REPRESENTATIONS REGARDING INTERNAL AND SEC INVESTIGATIONS:
* Public networking communication company in SEC investigation regarding potential improper revenue recognition based on alleged contingent sales
* CFO of a public company regarding alleged insider trading in which the SEC declined to pursue charges after CFO received Wells Notice
* Public life sciences company in SEC investigation regarding potential improper revenue recognition based on alleged round-tripping of cash through related parties
* Representation of a communications and networking company in internal investigation regarding potential FCPA violations
* Audit Committee of a public company in internal investigation regarding potential violations of related party transaction disclosure rules
* Audit Committee of Ixia in internal investigation regarding accounting for multi-element transactions and post-contract support transactions
* Special Committee of Board of Directors of a public technology company in internal investigation regarding stock sales by several officers and directors
* Audit Committee of a public company in internal investigation regarding off-label promotion of FDA-approved medication
* Juniper Networks in SEC investigation regarding multi-year financial restatement relating to accounting for stock options. Investigation concluded with a settlement that did not include any monetary fine
* Former CFO and CEO of a public company after the SEC enforcement staff recommended charging client with securities fraud violations. SEC concluded investigation without filing any charges
* Critical Path in SEC investigation relating to multi-year financial restatement. Investigation concluded with a settlement that did not include any monetary penalties or fraud claims

EDUCATION:
* J.D., Stanford Law School, 1984
Editor, Stanford Law Review; Recipient, Frank Baker Belcher Evidence Award
* B.A., Interdisciplinary Studies, Yale University, 1980
With Distinction and Honors, Summa Cum Laude, Phi Beta Kappa

ASSOCIATIONS AND MEMBERSHIPS:
* Member, American Bar Association
* Member, Stanford Law School Board of Visitors, 2004, 2005, 2006

HONORS:
* Honored as a "BTI Client Service All-Star" for 2016
* Selected by the 2007-2018 editions of Chambers USA as one of the top securities litigators in the United States
* Selected for inclusion in Northern California Super Lawyers in 2005-2018
* Featured in the 2006-2018 editions of Best Lawyers in America
* Named one of the nation's "Top 10 Commercial Litigation Lawyers" by U.S. Lawyer Rankings in 2007-2011 and 2014-2015
* Selected as one of Lawdragon's "100 Lawyers You Need to Know in Securities Litigation" in 2008
* Named one of the "Top Women Litigators" by the Daily Journal in 2007
* Featured in InsideCounsel's "Crisis Rolodex" as one of the "Best Lawyers to Call in a Worst-Case Scenario" (White-Collar Scandal category) in April 2007
* Selected for inclusion in the 2007 edition of The Legal 500 US
* Featured in Lawdragon 500 New Stars, New Worlds List in 2006
* Featured in Stanford Lawyer's cover article "Do the Right Thing" in 2003, which discusses how securities litigation has changed in recent years and how Nicki is helping clients implement systems to detect fraud and improve corporate governance practices

SELECT PUBLICATIONS:
* Co-author with P. Nielsen, "Ambiguity Deters Claims Pursuit: Practicalities May Make Section 304 More Trouble than Its Worth," San Francisco Daily Journal, August 2005

SELECT SPEAKING ENGAGEMENTS:
* Moderator, "Managing a True Corporate Crisis/Major Internal Investigation," Securities Enforcement Forum West, Palo Alto, CA, May 2017
* "A Guide to Venture-Backed Board Membership: Best Practices of Private Board Members," Rock Center for Corporate Governance, Stanford University, Palo Alto, CA, April 2017
* Moderator, "M&A Litigation and Claims Trends: Better, Worse or Just Different?" PLUS Conference, Chicago, IL, November 2016
* Faculty, "FCPA, SEC/DOJ Joint Actions, and Other Criminal Enforcement Trends," Securities Enforcement Forum West, San Francisco, CA, May 2016
* "A Guide to Venture-Backed Board Membership: Best Practices of Private Board Members," Rock Center for Corporate Governance, Stanford University, Palo Alto, CA, March 2016
* Moderator, "Insider Trading, Whistleblowers, and Other 2015 Enforcement Priorities," Securities Enforcement Forum West 2015, San Francisco, CA, May 2015
* "A Guide to Venture-Backed Board Membership: Best Practices of Private Board Members," Rock Center for Corporate Governance, Stanford University, Palo Alto, CA, March 2015
* "Modern Litigation Strategies," Stanford Directors' College, 2012
* "Defend Your Company, Defend Yourself," Stanford Directors' College, 2011
* Participant, Litigation Intensive, Stanford Directors' College, 2009

ADMISSIONS:
* State Bar of California
* Supreme Court of California
* U.S. District Court for the District of Arizona
* U.S. District Court for the Central District of California
* U.S. District Court for the Northern District of California
* U.S. District Court for the Southern District of California
* U.S. Court of Appeals for the Federal Circuit
* U.S. Court of Appeals for the Ninth Circuit
* U.S. Court of Appeals for the Tenth Circuit

Overview
RelSci Relationships

1972

Number of Boards

2

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Senior & Founding Partner at Wilson Sonsini Goodrich & Rosati PC

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Partner at Wilson Sonsini Goodrich & Rosati PC

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Partner at Wilson Sonsini Goodrich & Rosati PC

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Partner at Wilson Sonsini Goodrich & Rosati PC

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Partner at Wilson Sonsini Goodrich & Rosati PC

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Chief Legal Officer at Wilson Sonsini Goodrich & Rosati PC

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Partner at Wilson Sonsini Goodrich & Rosati PC

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Partner at Wilson Sonsini Goodrich & Rosati PC

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Managing Partner, Georgetown, Delaware at Wilson Sonsini Goodrich & Rosati PC

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Founding Partner at Wilson Sonsini Goodrich & Rosati PC

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Nicki Locker
Partner at Wilson Sonsini Goodrich & Rosati PC
Education
Juris Doctor
Class of 1984

Stanford began offering a curriculum in legal studies in 1893, when the university engaged its first two law professors. One was Benjamin Harrison, former President of the United States, who delivered a landmark series of lectures on the Constitution. The other was Nathan Abbott, who served as head of the nascent law program. Abbott assembled a small faculty to which he imparted a standard of rigor and excellence that endures to this day.In an effort to acknowledge the emerging professional nature of the department, Stanford's Board of Trustees passed a resolution in 1908 to substitute the term 'law school' for 'law department,' though technically the law program remained a department within the university.The law school was at the forefront of efforts to institute the California Bar exam, which was added to the requirements to practice law in California in 1919. The law school was accredited by the American Bar Association in 1923, the year the ABA began certifying law schools.

B.A., Interdisciplinary Studies with Distinction & Honors, summa cum laude, Phi Beta Kappa
Class of 1980

Yale University is an American private Ivy League research university located in New Haven, Connecticut. Founded in 1701 in the Colony of Connecticut, the university is the third-oldest institution of higher education in the United States.

Memberships
Member
Current

American Bar Association provides legal services. It provides law school accreditation, continuing legal education, legal information and other services to assist legal professionals. The firm has members which include judges, court administrators, law professors, and non-practicing attorneys. The company was founded on August 21, 1878 and is headquartered in Chicago, IL.

Editor
Prior
Career History
Partner
1985 - Current

Wilson Sonsini Goodrich & Rosati PC is the premier legal advisor to technology and growth enterprises worldwide, as well as the investment banks and venture capital firms that finance them. Over the past five decades, Wilson Sonsini Goodrich & Rosati has established its reputation by having an unmatched knowledge of its clients' industries and deep and long-standing contacts throughout the technology sector.The firm's legal expertise serves clients at all stages of growth, from venture-backed start-up companies to multibillion-dollar global enterprises. The firm's clients include some of the most recognized names in the technology, retail, life sciences, venture capital, and finance sectors.Their broad range of services and legal disciplines are focused on serving the principal challenges faced by management and the boards of directors of business enterprises. The firm is nationally recognized as a leader in corporate governance, public and private offerings of equity and debt securities, mergers and acquisitions, securities class action litigation, intellectual property litigation, joint ventures and strategic alliances, and technology licensing and other intellectual property transactions.The firm has offices in Austin, Georgetown, DE, Hong Kong, New York, Palo Alto, San Diego, San Francisco, Seattle, Shanghai, and Washington, DC.

Clerk
Prior

The United States Court of Appeals for the Ninth Circuit (in case citations, 9th Cir.) is a U.S. Federal court with appellate jurisdiction over the district courts in the following districts: District of Alaska District of Arizona Central District of California Eastern District of California Northern District of California Southern District of California District of Hawaii District of Idaho District of Montana District of Nevada District of Oregon Eastern District of Washington Western District of Washington It also has appellate jurisdiction over the following territorial courts: District of Guam District of the Northern Mariana Islands.

Boards & Committees
Member, Board of Visitors
2004 - 2006

Stanford began offering a curriculum in legal studies in 1893, when the university engaged its first two law professors. One was Benjamin Harrison, former President of the United States, who delivered a landmark series of lectures on the Constitution. The other was Nathan Abbott, who served as head of the nascent law program. Abbott assembled a small faculty to which he imparted a standard of rigor and excellence that endures to this day.In an effort to acknowledge the emerging professional nature of the department, Stanford's Board of Trustees passed a resolution in 1908 to substitute the term 'law school' for 'law department,' though technically the law program remained a department within the university.The law school was at the forefront of efforts to institute the California Bar exam, which was added to the requirements to practice law in California in 1919. The law school was accredited by the American Bar Association in 1923, the year the ABA began certifying law schools.

Transactions
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Juniper Networks, Inc. purchases Trapeze Networks, Inc. from Belden, Inc.

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