Mayer Brown announced today that Marlon Paz has joined the firm as a partner to lead the firm’s Broker-Dealer Regulatory & Compliance practice.

Marlon’s practice focuses on advising broker-dealers and other financial services firms in matters related to securities regulation, examinations, internal investigations, SEC and FINRA enforcement, and compliance.

“Marlon is a key addition to our firm’s financial services practice.” said Tom Delaney, a coleader of Mayer Brown’s Financial Services Regulatory & Enforcement practice. “He is nationally recognized for his work in broker-dealer law and we’re very excited to welcome him to the firm.”

Marlon has represented clients on a wide variety of SEC and FINRA enforcement and regulatory actions. He served in senior positions at the SEC, where he had a key role in developing the SEC’s positions on many important regulatory and enforcement matters, including the regulation of foreign financial institutions (Rule 15a-6), shorting, Regulation M, soft dollar payments, and the standards of care for broker-dealers. He is a member of the adjunct faculty of Georgetown University Law Center, where he teaches courses on the U.S. regulation of financial institutions and the securities markets, securities law and the internet, and international business litigation. He holds a JD from the University of Pennsylvania Law School.

“I’m thrilled to join Mayer Brown and work with the firm’s domestic and international financial services and fintech clients,” said Marlon. “Broker-dealers face an increasingly complex environment in which to operate and the firm is well positioned in the US and globally to help guide them through the changes that the industry faces.”

Mayer Brown’s global Financial Services Regulatory & Enforcement practice provides intelligent, forward-thinking solutions for financial services firms operating in today’s complex regulatory environment. We offer the full range of regulatory, enforcement, litigation, transactional and policy capabilities in order to comprehensively address the myriad issues facing the sector around the world. Chambers USA ranks Mayer Brown as a leading law firm for Financial Services Regulation in their Banking (Compliance), Banking (Enforcement & Investigations), and Consumer Finance (Compliance & Litigation) categories. IFLR1000 and The Legal 500 US also rank Mayer Brown in their financial services regulatory categories.

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