Colorado Securities and Financial Enforcement “Regulatory Round-Up”
January 29, 2025 | 3:30 - 5:00pm | In-person Only
Colorado Bar Association | 1290 Broadway, Ste 1700, Denver
2 General CLE Credits
Program Description:
Join the
CBA's Securities Subsection for a moderated panel discussion on securities fraud and economic crime enforcement priorities for 2025 and beyond. Colorado securities and financial regulators will offer their unique perspectives on a broad waterfront of securities enforcement and economic crime enforcement topics on the horizon. Topics that the panel may discuss include cryptocurrency, cooperation, auditor and accounting, public company, broker-dealer / investment advisor, and other economic crime enforcement matters.
Moderator & Defense Perspective:
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; 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.
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 30 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 8.5 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.
Applied for 2 General CLE Credits.