Marlon Paz, Partner, Locke Lord LLP, is an expert on a wide range of complex securities issues, in the regulatory and litigation context, internal investigations and compliance. He is a partner at Locke Lord LLP and on the faculty of Georgetown University Law Center, where he teaches courses on the U.S. regulation of financial institutions, the securities markets, and international business litigation. Mr. Paz is a Certified Fraud Examiner and frequent speaker and consultant on issues related to the regulation of broker-dealers and investment advisers.
Mr. Paz has served in senior positions with the Securities and Exchange Commission, where he played a key role in developing the SEC’s positions on many important regulatory and enforcement matters. Mr. Paz was part of the team dealing with the financial crisis and has worked on a number of regulatory measures, including fraud, anti-manipulation, credit ratings agency reform, the respective fiduciary duties of broker-dealers and investment advisers, and the regulation of short sales, hedge funds, and enhancements to capital and financial controls over broker-dealers. During his tenure at the SEC, Mr. Paz worked on over 100 enforcement matters involving complex securities issues.
Mr. Paz earned his J.D. from the University of Pennsylvania Law School, and holds an LL.M from Georgetown University Law Center, an M.A. from Wesleyan University, Middletown, Connecticut, and a B.A. in philosophy from Trinity College, Hartford, Connecticut.
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