Corporate FinanceEmployee Benefits and Executive Compensation
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Fordham University School of Law, J.D., 1990
New York University, B.S. in Accounting, 1982
New YorkConnecticut
BSA/AML Challenges for Private Equity and Hedge Funds
October 18, 2012 -- New York State Society of CPAs Foundation for Accounting Education
Rick Morris moderated a panel discussion at the New York State Society of CPAs Foundation for Accounting Education entitled "BSA/AML Challenges for Private Equity and Hedge Funds."
October 18, 2012 -- New York State Society of CPAs Foundation for Accounting Education
Rick Morris moderated a panel discussion at the New York State Society of CPAs Foundation for Accounting Education entitled "BSA/AML Challenges for Private Equity and Hedge Funds."
Herrick’s Sixth Annual Capital Markets Symposium: Current Developments in Federal Regulation of the Capital Markets
October 2, 2012
A distinguished panel of financial experts, including representatives of JPMorgan Chase, Barclays, Grant Thornton, Riverside Risk Advisors LLC and Herrick, Feinstein LLP assessed the current developments in federal regulation of the capital markets, including the implementation of the Volcker Rule, ramifications of the JOBS Act, and ongoing regulatory developments in the derivatives markets.
October 2, 2012
A distinguished panel of financial experts, including representatives of JPMorgan Chase, Barclays, Grant Thornton, Riverside Risk Advisors LLC and Herrick, Feinstein LLP assessed the current developments in federal regulation of the capital markets, including the implementation of the Volcker Rule, ramifications of the JOBS Act, and ongoing regulatory developments in the derivatives markets.
Inaugural Marcum MicroCap Conference
June 20, 2012
The Marcum MicroCap conference was designed for investors interested in the micro-cap arena, and is expected to gather over 500 participants, including institutional investors, mutual funds, hedge funds, wealth managers, and family offices. The event featured presentation tracks highlighting the hottest growth sectors as well as panels on subjects highly relevant to small-cap corporate finance.
June 20, 2012
The Marcum MicroCap conference was designed for investors interested in the micro-cap arena, and is expected to gather over 500 participants, including institutional investors, mutual funds, hedge funds, wealth managers, and family offices. The event featured presentation tracks highlighting the hottest growth sectors as well as panels on subjects highly relevant to small-cap corporate finance.
Family Owned Business Seminar Series: Strategic Planning to Preserve and Maximize Value
April 18, 2012 -- Herrick, Feinstein LLP
Herrick hosted a Family Owned Business Seminar Series: Strategic Planning to Preserve and Maximize Value. The panel discussion included strategies that family business owners are using to proactively reduce their risk profile and increase the value of their business. Some of the topics included: succession planning, the process for financing or selling a family business and when an ESOP makes sense.
April 18, 2012 -- Herrick, Feinstein LLP
Herrick hosted a Family Owned Business Seminar Series: Strategic Planning to Preserve and Maximize Value. The panel discussion included strategies that family business owners are using to proactively reduce their risk profile and increase the value of their business. Some of the topics included: succession planning, the process for financing or selling a family business and when an ESOP makes sense.
Building Owners’ and Managers’ Perspective on Energy Infotech
March 13, 2012 -- Herrick, Feinstein LLP
Herrick hosted “Building Owners’ and Managers’ Perspective on Energy Infotech,” an event organized by Energy Infotech NYC – a clean energy technology incubator funded by the New York State Energy and Research Development Authority (NYSERDA). This event featured perspectives from building owners, managers and other real estate professionals on energy-related information technology offerings and implementations.
March 13, 2012 -- Herrick, Feinstein LLP
Herrick hosted “Building Owners’ and Managers’ Perspective on Energy Infotech,” an event organized by Energy Infotech NYC – a clean energy technology incubator funded by the New York State Energy and Research Development Authority (NYSERDA). This event featured perspectives from building owners, managers and other real estate professionals on energy-related information technology offerings and implementations.
Riding the Waves of Innovation
October 2011 -- Third Party Marketers Association Annual Conference
Richard Morris moderated a panel discussion at the Third Party Marketers Association Annual Conference in Boston, Massachusetts on the Due Diligence Process and Procedures of Private Equity and Hedge Funds.
October 2011 -- Third Party Marketers Association Annual Conference
Richard Morris moderated a panel discussion at the Third Party Marketers Association Annual Conference in Boston, Massachusetts on the Due Diligence Process and Procedures of Private Equity and Hedge Funds.
Energy Infotech NYC’s “Early Stage Investing in Energy Infotech Firms”
October 5, 2011 -- Herrick, Feinstein LLP
This seminar focused on investors’ and entrepreneurs’ expectations, identification of portfolio companies, key elements of a successful raise, as well as key elements of a successful investor-entrepreneur partnership. The panelists included venture and angel investors, as well as perspectives from Herrick partner Richard Morris, who frequently sources and structures investment deals.
October 5, 2011 -- Herrick, Feinstein LLP
This seminar focused on investors’ and entrepreneurs’ expectations, identification of portfolio companies, key elements of a successful raise, as well as key elements of a successful investor-entrepreneur partnership. The panelists included venture and angel investors, as well as perspectives from Herrick partner Richard Morris, who frequently sources and structures investment deals.
The Knock Knock That’s No Joke!
May 5, 2011 -- Marcum’s Breakfast Event
Rick Morris and Steve Feldman spoke at Marcum’s breakfast event entitled “The Knock Knock That’s No Joke!” The event focused on how to protect your hedge fund when law enforcement agents or the SEC pay you a visit.
May 5, 2011 -- Marcum’s Breakfast Event
Rick Morris and Steve Feldman spoke at Marcum’s breakfast event entitled “The Knock Knock That’s No Joke!” The event focused on how to protect your hedge fund when law enforcement agents or the SEC pay you a visit.
Real Estate Seminar
January 13, 2011 -- KPMG LLP
Rick Morris spoke at a KPMG seminar on developments in the regulation of the financial services industry, including provisions of the Dodd-Frank Act that address investment adviser registration, that may have broad implications for the real estate investment management industry.
January 13, 2011 -- KPMG LLP
Rick Morris spoke at a KPMG seminar on developments in the regulation of the financial services industry, including provisions of the Dodd-Frank Act that address investment adviser registration, that may have broad implications for the real estate investment management industry.
Key Issues in Venture Capital Financing
November 16, 2010
Richard Morris spoke to New York County Lawyers' Association's (NYCLA) Corporations Law Committee on the Key Issues in Venture Capital Financing.
November 16, 2010
Richard Morris spoke to New York County Lawyers' Association's (NYCLA) Corporations Law Committee on the Key Issues in Venture Capital Financing.
The Dodd-Frank Wall Street Reform and Consumer Protection Act
October 20, 2010 -- FEI New York City Chapter
Steve Feldman and Rick Morris spoke at the FEI New York City Chapter event “The Dodd-Frank Wall Street Reform and Consumer Protection Act.”
October 20, 2010 -- FEI New York City Chapter
Steve Feldman and Rick Morris spoke at the FEI New York City Chapter event “The Dodd-Frank Wall Street Reform and Consumer Protection Act.”
Best Practices in Assessing Your Company’s Enterprise Risk Management Initiative: The Role of Internal Audit and Fiduciary Responsibilities of Audit Committees and Audit Directors
March 4, 2010 -- Herrick, Feinstein LLP and Institute of Internal Auditors
Herrick, in conjunction with the Business and Industry Committee of the New York Chapter of the Institute of Internal Auditors, hosted two interactive panel discussions and a networking reception.
March 4, 2010 -- Herrick, Feinstein LLP and Institute of Internal Auditors
Herrick, in conjunction with the Business and Industry Committee of the New York Chapter of the Institute of Internal Auditors, hosted two interactive panel discussions and a networking reception.
Business Transformation Beyond 2010
October 29, 2009 -- Herrick, Feinstein LLP, KBL, LLP and LEVYCHIN, LLC
Transformational Strategies for Emerging Business and Investment Firms
October 29, 2009 -- Herrick, Feinstein LLP, KBL, LLP and LEVYCHIN, LLC
Transformational Strategies for Emerging Business and Investment Firms
PE Firms and Distress: The Tricky Business of Risk Mitigation and Value Creation
October 8, 2009 -- Herrick, Feinstein LLP
Our experts discussed the bankruptcy and distressed issues that impact private equity firms. Attendees heard about several recent cases involving private equity sponsors and troubled portfolio companies and learned the business strategies firms should consider, whether as the buyer or seller.
October 8, 2009 -- Herrick, Feinstein LLP
Our experts discussed the bankruptcy and distressed issues that impact private equity firms. Attendees heard about several recent cases involving private equity sponsors and troubled portfolio companies and learned the business strategies firms should consider, whether as the buyer or seller.
Fraud and Ethics in the Financial Crisis
September 16, 2009 -- Institute for Internal Auditors
Richard Morris and Steven Feldman presented at the “Fraud and Ethics in the Financial Crisis” workshop hosted by the Institute for Internal Auditors (IIA) in New York.
September 16, 2009 -- Institute for Internal Auditors
Richard Morris and Steven Feldman presented at the “Fraud and Ethics in the Financial Crisis” workshop hosted by the Institute for Internal Auditors (IIA) in New York.
Liability of Fiduciaries for Investments in Fraudulent Enterprises
March 3, 2009 -- Herrick, Feinstein LLP, Eisner LLP and Sciens Capital Management LLC
Attendees learned the steps they need to take to protect themselves as individuals in the event they are victims of Ponzi schemes, accounting misstatements or other frauds.
March 3, 2009 -- Herrick, Feinstein LLP, Eisner LLP and Sciens Capital Management LLC
Attendees learned the steps they need to take to protect themselves as individuals in the event they are victims of Ponzi schemes, accounting misstatements or other frauds.
Bailouts, Banking and Busts = Fraud, Forensics and Opportunity?
November 18, 2008 -- Financial Executives International
Rick Morris participated in a Financial Executives International panel on the U.S. government’s bailout entitled “Bailouts, Banking and Busts = Fraud, Forensics and Opportunity?”
November 18, 2008 -- Financial Executives International
Rick Morris participated in a Financial Executives International panel on the U.S. government’s bailout entitled “Bailouts, Banking and Busts = Fraud, Forensics and Opportunity?”
The Basics of Finance: Learn to Read and Understand Balance Sheets, Income Statements and Cash Flow Statements
June 27, 2008 -- Lorman Education Services
Rick Morris delivered this lecture on how to read and understand balance sheets, income statements and cash flow statements.
June 27, 2008 -- Lorman Education Services
Rick Morris delivered this lecture on how to read and understand balance sheets, income statements and cash flow statements.
Prospering in the Middle Market
June 24, 2008 -- Herrick, Feinstein LLP
Richard Morris moderated this panel.
June 24, 2008 -- Herrick, Feinstein LLP
Richard Morris moderated this panel.
Effectively Administrating Private Equity Funds
June 14, 2007
Richard Morris moderated the presentation Effectively Administrating Private Equity Funds at the Financial Research Associates' seminar.
June 14, 2007
Richard Morris moderated the presentation Effectively Administrating Private Equity Funds at the Financial Research Associates' seminar.
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