Kurt L. Gottschall

Kurt Gottschall is a partner in Haynes Boone’s Denver office and chair of the firm’s nationwide SEC Enforcement Defense Practice Group. He represents investment advisers, broker-dealers, public companies, officers and directors, auditors, and individuals in SEC investigations and examinations, other government and financial-regulatory investigations, internal investigations and regulatory compliance matters.

A substantial part of Kurt’s practice is devoted to representing investment advisers and broker-dealers in investigations, examinations and regulatory compliance matters. He counsels these clients on issues involving disclosures, conflicts of interest, fees and expenses, marketing practices, custody, supervisory systems and compliance programs, and he regularly helps them navigate parallel inquiries by the SEC, FINRA, state securities regulators and other enforcement authorities.

Kurt joined the firm after serving as the Director of the SEC’s Denver Regional Office, where he managed more than 100 staff and oversaw all of the office’s enforcement investigations, litigation and examinations of SEC registrants in an eight-state region. Kurt’s tenure as Regional Director capped a 22-year career with the SEC, in which he previously led the SEC’s enforcement program in Denver and served as an Assistant Director in the Division of Enforcement’s Asset Management Unit.

Kurt also advises clients responding to investigations and examinations by other financial industry regulators and government agencies, including the U.S. Department of Justice (DOJ), the Financial Industry Regulatory Authority (FINRA), the Public Company Accounting Oversight Board (PCAOB), the Commodity Futures Trading Commission (CFTC), the U.S. Department of Labor (DOL), state securities regulators and attorneys general.