Marlon Q. Paz
Partner, Locke Lord LLP, Adjunct Professor of Law
B.A., Trinity College; M.A., Wesleyan; J.D., University of Pennsylvania
B.A., Trinity College; M.A., Wesleyan; J.D., University of Pennsylvania. Professor Marlon Paz is a Partner at Locke Lord LLP where he concentrates his practice on...Continue Reading
B.A., Trinity College; M.A., Wesleyan; J.D., University of Pennsylvania. Professor Marlon Paz is a Partner at 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. He has served as the Principal Integrity Officer at the Inter-American Development Bank, Senior Counsel to the Director of Trading and Markets at the U.S. Securities and Exchange Commission, and practiced business and securities law in private practice.
Marlon has played a central role in developing the SEC's positions on many important regulatory and enforcement matters, including initiatives to address the current financial stress in the markets. Marlon had significant responsibility for developing a rule to require disclosure of short sales by hedge funds and other large investors; formulating options to revise the regulatory structure of investment advisers and broker-dealers; devising recommendations to improve the regulatory framework to facilitate global market access; and proposing a rule to streamline the processing of filings submitted by self-regulatory organizations. Marlon has counseled attorneys in the Division of Enforcement conducting investigations involving novel and complex issues under the federal securities laws, particularly in matters involving broker-dealers, hedge funds, prime brokers, research analysts and the securities markets.
Marlon was recognized as one of the "100 Most Influential U.S. Hispanics" by Hispanic Business Magazine. He received the SEC's EEO Award for his work with Florida International University. Marlon received the HNBA's Regional President of the Year Award. In 2006, the American Bar Association Section of Business Law appointed Marlon as an Ambassador for a two-year term.