Marlon Paz is a partner in the Washington, D.C. office of Locke Lord LLP where he concentrates his practice on securities matters, business litigation, white collar criminal defense and internal investigations. He has extensive experience with a wide range of complex securities issues, in the regulatory and litigation context, internal investigations and compliance, including the Foreign Corrupt Practices Act, and global anti-corruption matters.
Prior to joining the Firm, he was the Principal Integrity Officer of the Inter-American Development Bank, where he led a team of lawyers and investigators in the development, investigation and prosecution of fraud and corruption cases. He also was responsible for compliance procedures relating to issues such as integrity due diligence, anti-money laundering, offshore financial centers, and the Office of Foreign Assets Control Specially Designated Nationals List.
Mr. Paz served in senior positions during his six-year tenure 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 has substantive experience with federal securities laws, with particular expertise on issues related to the business of broker-dealers. 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, hedge funds, and enhancements to capital and financial controls over broker-dealers. He handled a number of regulatory actions involving foreign financial institutions. During his tenure at the SEC, Mr. Paz worked on over 100 enforcement matters involving complex securities issues. He worked closely with senior members of the SEC on issues related to the oversight of the securities markets, broker-dealers, clearance and settlement, transfer agents, and credit rating agencies.
Prior to his tenure at the SEC, Mr. Paz spent several years in private practice, focusing on complex securities litigation, corporate and fiduciary litigation, and corporate finance matters.
Mr. Paz has been recognized as one of the “100 Most Influential U.S. Hispanics” by Hispanic Business Magazine. He is 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.
Mr. Paz is a member of the adjunct faculty of Georgetown University Law Center, where he teaches a course on the U.S. regulation of financial institutions and the securities markets and a course on international business litigation and federal practice. In addition, Mr. Paz has been a frequent speaker on the federal securities laws, white collar criminal defense, and internal investigations.
- University Of Pennsylvania
- Certified Fraud Examiner
- Association of Certified Fraud Examiners
- New York State Bar # 4265492
- - Current
- District of Columbia
- New York
- Securities Law
- White Collar Crime
- English: Spoken, Written
- Spanish: Spoken, Written