Experienced Regulatory and Enforcement Attorney Marlon Q. Paz Joins Seward & Kissel

WASHINGTON--()--Leading law firm Seward & Kissel LLP is pleased to announce that Marlon Q. Paz has joined the Firm as a partner and will focus on broker-dealer regulation and enforcement.

Mr. Paz served for six years with the Securities and Exchange Commission (SEC) in senior roles, charged with developing the SEC’s position on regulatory and enforcement matters. He had particular responsibility for and expertise with issues related to the regulation of broker-dealers, the securities markets, clearance and settlement, transfer agencies, and credit ratings agencies. Mr. Paz worked on several important regulatory actions, including Rule 15a-6, Rule 105 of Regulation M, financial responsibility rules and short sale rules, as well as on more than 100 enforcement matters involving complex securities issues at the SEC.

“Marlon’s deep regulatory and enforcement background at the SEC makes him an excellent addition to the Firm,” said Seward & Kissel Managing Partner Jim Cofer. “The insights and knowledge he has about SEC regulations, policies and practices will be of tremendous value to our clients.”

After leaving the SEC, Mr. Paz was the Principal Integrity Officer of the Inter-American Development Bank. He led a team that investigated and prosecuted fraud and corruption in bank financed activities. Mr. Paz was also responsible for compliance matters related to integrity due diligence, anti-money laundering, offshore financial centers, and the Office of Foreign Assets Control Specially Designated Nationals List.

“Marlon is truly a unique legal talent, as he pairs senior SEC regulatory and enforcement experience with practical in-house and law firm experience,” said Paul Clark, a partner in the DC office. “This is a rare combination that we are confident our clients will find invaluable.”

“Seward & Kissel has an unrivaled reputation in the financial service industry for quality work and experienced legal counsel,” said Mr. Paz. “When I began considering the next stage of my career, the choice became very clear. This is a firm where I can assist sophisticated financial services firms in a challenging regulatory environment with the support of lawyers experienced in the federal securities and banking laws, as well as tax, investment management, ERISA, litigation and enforcement.”

Mr. Paz currently serves as the Chair of the Trading and Markets subcommittee of the Business Law Section of the American Bar Association, and 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.

Mr. Paz holds an LL.M., with distinction, from Georgetown University Law Center; a J.D. from the University of Pennsylvania Law School; an M.A. from Wesleyan University; and a B.A. from Trinity College.

About Seward & Kissel LLP

Seward & Kissel LLP, founded in 1890, is a leading U.S. law firm with an international reputation for excellence. We have offices in New York City and Washington, D.C. The firm is particularly well known for its investment management work, and its representation of investment advisers and related investment funds (including hedge funds and mutual funds), major commercial banks, investment banking firms, master servicers, investors, distressed trade brokers, liquidity providers, hedge fund administrators, broker-dealers, institutional investors, and transportation companies (particularly in the shipping area). The Firm’s practice also focuses on corporate, litigation and restructuring work for clients seeking legal expertise in the financial services, corporate finance and capital markets areas.

Contacts

Seward & Kissel LLP
Molly McLeod, 646-386-7675
mmcleod@hellermanbaretz.com

Contacts

Seward & Kissel LLP
Molly McLeod, 646-386-7675
mmcleod@hellermanbaretz.com