Colorado Securities Enforcement Update

Thursday, February 9 | 3:30 - 5:00 PM

In-person only at Colorado Bar Association | 1290 Broadway, Ste 1700, Denver

Join the CBA's Securities Subsection for a panel discussion on securities enforcement priorities for 2023 and beyond. Colorado securities regulators and defense counsel will offer their unique perspectives on a broad waterfront of securities enforcement topics on the horizon. Topics may include emerging areas like ESG and crypto, as well as perennial focus areas such as public company disclosures, accounting and auditing, insider trading, investment advisers, broker-dealers and more.  

 

Panelists

Jason Burt is the Director of the SEC's Denver Regional Office. In this role, Jason leads the Denver Regional Office’s Examination and Enforcement efforts, supervising over 100 examiners, investigative attorneys, and trial unit staff in their examinations, investigations, and litigations. Prior to taking on this role, Jason was the Associate Regional Director of Enforcement and an Assistant Regional Director in both the Asset Management Unit and the Market Abuse Unit of the Division of Enforcement. The Asset Management Unit focuses on cases related to mutual fund, hedge fund, and private equity fund practices, while the Market Abuse Unit specializes in cases related to large-scale insider trading, market structure, and cyber issues. Jason has also served as an Adjunct Professor at the University of Denver Sturm College of Law, teaching a class on Investment Adviser Enforcement and Regulation.  

 

Tung Chan is Colorado Securities Commissioner. Commissioner Chan brings a wealth of knowledge, experience, and legal expertise. She began her practice as a securities and corporate attorney with an international law firm in New York City. In private practice, she has advised private and public Fortune 100 companies in securities, finance, corporate governance, regulatory, and international matters. Commissioner Chan also served as general counsel for blockchain startups including the Ethereum Foundation at the launch of its genesis block. From 2006-2015, she was Securities Commissioner for the State of Hawaii. Commissioner Chan is a graduate of Dartmouth College and the University of Michigan Law School and clerked for the U.S. Court of Appeals for the 10th Circuit.

Martha (Marty) Paluch is the Economic Crimes Section Chief, United States Attorney’s Office for the District of Colorado. Marty has been an Assistant United States Attorney in the United States Attorney’s Office for the District of Colorado for her entire legal career, which is almost 28 years. Prior to becoming an AUSA, Marty served as a federal law clerk for the United States District Court for the District of Colorado. Marty has served as the Chief of the Economic Crimes Section for the past six years. While in the U.S. Attorney’s Office, she has worked in Major Crimes, Appellate, Asset Recovery, and Economic Crimes. Marty earned her undergraduate degree from the University of Colorado at Boulder and her law degree from the University of Denver.  

 

Brian Neil Hoffman is a partner in Holland & Hart, LLP. In his national practice he provides experienced counsel to entities and individuals, drawing from his prior service as senior counsel in the U.S. Securities and Exchange Commission’s Division of Enforcement and his prior tenure with a large international law firm. Brian counsels clients through federal and state government enforcement, self-regulatory organization, and white-collar matters; in corporate internal investigations; to address internal whistleblower reports and defend against whistleblower retaliation claims asserted under the Sarbanes-Oxley and Dodd-Frank Acts; and in corporate governance and securities litigation. Over his decades in practice, Brian has successfully handled a multitude of matters before the SEC, DOJ, PCAOB, FINRA, and multiple state AGs/securities divisions, as well as tried more than twenty cases to verdict and achieved numerous favorable pre-trial outcomes in litigated matters. Brian earned his law degree from New York University School of Law, earned his bachelor’s degree in political science from Washington University in St. Louis, and studied economics and political science at London School of Economics.  

 

Kurt Gottschall is a partner in the Denver office of Haynes and Boone, LLP, where his nationwide practice focuses on representing public companies and their officers and directors, auditors, investment advisers, broker-dealers and individuals in investigations by the U.S. Securities and Exchange Commission (SEC) and other government agencies, regulatory compliance, and internal investigations. Prior to joining the firm, Mr. Gottschall was the Regional Director of the SEC’s Denver Regional Office, where he oversaw all examinations, enforcement investigations, and litigation in a seven-state region. Mr. Gottschall has more than 20 years of SEC experience, including supervising the SEC’s enforcement program in Denver as the Associate Regional Director, and as an Assistant Director in the Asset Management Unit. Before joining the SEC staff, Mr. Gottschall worked as a litigation associate in private practice in Denver and Los Angeles, where he specialized in securities litigation and white collar defense. Mr. Gottschall earned his law degree with honors from the University of California, Hastings College of the Law, and his bachelor’s degree in economics and government with honors from Claremont McKenna College.

 

Applied for 1 General CLE Credit