Latham Adds Leading Authority on Broker-Dealer Regulation to Capital Markets Practice and Financial Institutions Industry Group in Washington, D.C. and New York

Marlon Paz advises clients on securities regulation, agency enforcement, internal investigations and examinations, and compliance.

December 02, 2021

Latham & Watkins LLP1 is pleased to announce that Marlon Paz, trusted advisor to leading financial institutions and an authority on broker-dealer regulation, has joined the firm's Washington, D.C. and New York offices as a partner in the Capital Markets Practice and the Financial Institutions Industry Group, and as a member of the Corporate Department.

Paz, a former Senior Special Counsel to the Securities & Exchange Commission’s (SEC) Director of the Division of Trading and Markets, counsels broker-dealers and other financial services firms on matters related to securities regulation, SEC and Financial Industry Regulatory Authority (FINRA) enforcement, internal investigations and examinations, and compliance.

“Marlon is a highly regarded practitioner with versatile experience in both private practice and government, and we are delighted to welcome him to the firm,” said Dan Lennon, Office Managing Partner of Latham’s Washington, D.C. office.

Marc Jaffe, Office Managing Partner of Latham’s New York office added, “Marlon is a go-to advisor to broker-dealers and other financial services firms on their most sophisticated matters, and he will be an asset to our clients as they navigate increasingly complex compliance, regulatory, and enforcement matters.”

Ian Schuman, Global Chair of Latham’s Capital Markets Practice, said: “Marlon’s arrival demonstrates our continued investment in the firm’s premier capital markets platform. His sophisticated understanding of securities regulation and enforcement further enhances our unparalleled ability to solve our clients’ toughest securities and listing issues.”

Rafal Gawlowski, Global Co-Chair of Latham’s Financial Institutions Industry Group, added: “Marlon has his finger on the pulse of today’s highly regulated markets. His deep knowledge of broker-dealer regulations, enforcement, and compliance is highly complementary to Latham’s ability to comprehensively address the issues facing our financial institutions clients around the world.”

“Latham’s global platform and strength across litigation, transactional, and regulatory practices present exciting new opportunities to serve my clients,” said Paz. “I’m thrilled to join the firm’s powerhouse team in advising on market-shaping, cross-border deals and regulatory matters.”

Paz received his JD from the University of Pennsylvania Law School, an LL.M in securities and financial regulation from Georgetown University Law Center, and his BA from Trinity College. He was named a “key lawyer” in the area of financial services regulation by Legal 500, and among the 100 Most Influential US Hispanics by Hispanic Business Magazine. Paz serves as the Chair to the International Business Law Committee of the American Bar Association (ABA) and Vice Chair of the ABA’s Federal Securities Regulation Committee. He has served as Chair of the Trading and Markets Subcommittee of the ABA’s Federal Securities Regulation Committee, President of the Hispanic Bar Association of D.C., General Counsel of the D.C. Bar, and National Vice President of the Hispanic National Bar Association. He joins Latham from Mayer Brown in Washington, D.C. and New York.

About Latham & Watkins

Latham & Watkins delivers innovative solutions to complex legal and business challenges around the world. From a global platform, our lawyers advise clients on market-shaping transactions, high-stakes litigation and trials, and sophisticated regulatory matters. Latham is one of the world’s largest providers of pro bono services, steadfastly supports initiatives designed to advance diversity within the firm and the legal profession, and is committed to exploring and promoting environmental sustainability.

Notes to Editors

1 Latham & Watkins operates worldwide as a limited liability partnership organized under the laws of the State of Delaware (USA) with affiliated limited liability partnerships conducting the practice in France, Hong Kong, Italy, Singapore, and the United Kingdom and as an affiliated partnership conducting the practice in Japan. Latham & Watkins operates in Israel through a limited liability company. Latham & Watkins operates in South Korea as a Foreign Legal Consultant Office. Latham & Watkins works in cooperation with the Law Office of Salman M. Al-Sudairi in the Kingdom of Saudi Arabia.

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