Marlon Paz

Marlon Paz counsels broker-dealers, investment advisers, and other financial services firms on matters related to securities regulation, regulatory enforcement, internal investigations, examinations, and compliance. He also helps clients navigate acquisitions of brokers, dealers, and investment advisers.

Marlon combines government service, academia, and industry focus to help brokerage and advisory firms and individual executives manage complex securities laws. Clients turn to Marlon when faced with complex regulatory matters before the US Securities and Exchange Commission or self-regulatory organizations such as the Financial Industry Regulatory Authority (FINRA). Marlon provides legal services in a wide range of areas, including status and registration requirements (particularly Rule 15a-6), investment research, Regulation M, financial responsibility, short-sale regulation, automated trading, sales practice rules, privacy, Regulation ATS, soft dollars, clearance and settlement, credit rating agency regulations, insider trading policies and procedures, and rules relating to self-regulatory organizations.

Marlon provides seasoned and insightful advice, drawing on his experience as a senior official at the SEC. During his tenure with the agency, he contributed significantly to developing the SEC's positions on many important regulatory and enforcement matters. He then served as the principal integrity officer of the Inter-American Development Bank. In that role, he led the development, investigation, and prosecution of fraud and corruption cases and oversaw compliance procedures relating to integrity due diligence, anti-money laundering, offshore financial centers, and the Office of Foreign Assets Control Specially Designated Nationals List.

Marlon is an adjunct faculty member at Georgetown University Law Center and the University of Pennsylvania Carey Law School, where he teaches courses on US regulation of financial institutions and securities markets, technological innovations in the securities industry, and international business litigation.

Marlon is a member of the Council of the American Bar Association Business Law Section and a Fellow and regional Chair of the American Bar Foundation. He is the former general counsel to the District of Columbia Bar, a past president of the Hispanic Bar Association of DC and a former national vice president of the Hispanic National Bar Association. He has been honored with the Leadership Award from the Hispanic National Bar Foundation and appointed an ambassador by the American Bar Association Business Law Section.