Dr. Marlon Paz

Biography

Marlon Q. Paz specializes in financial regulation and regulatory enforcement, with 25 years of combined experience in senior positions at the U.S. Securities and Exchange Commission and as an equity partner at major law firms. He teaches a course on the regulation of broker-dealers, investment advisers, and securities markets at elite law schools. His academic research focuses on the adoption of artificial intelligence technologies within the financial services industry. In his private practice, he serves as legal counsel to broker-dealers, investment advisers, and securities exchanges, addressing complex regulatory issues, particularly those related to securities regulation, regulatory enforcement, internal investigations, and compliance. He helps clients navigate acquisitions involving brokers, dealers, and investment advisers. Professor Paz is a Fellow of the American Bar Foundation and a Council Member of the American Bar Association’s Business Law Section, where he has served as chair of the International Business Law Committee and vice-chair of the Federal Regulation of Securities Committee. He is also the General Counsel of the District of Columbia Bar, the largest mandatory bar association of lawyers in the United States, and a past president of the Hispanic Bar Association of D.C., as well as a national vice president of the Hispanic National Bar Association.

Research Interests