The Securities and Exchange Commission has named Katharine Zoladz as associate regional director for enforcement in the Los Angeles Regional Office. She succeeds John Berry, who left the agency in July.
As associate regional director, Zoladz will oversee the Los Angeles office’s enforcement efforts in Southern California, Arizona, Hawaii, and Nevada, along with fellow associate regional director Alka Patel.
Zoladz began working at the SEC’s Division of Enforcement as a staff attorney in the Los Angeles office in 2010 and joined the Division’s Asset Management Unit in 2017 before being promoted to assistant regional director.
During her career with the SEC, Zoladz has investigated or supervised significant enforcement matters involving a variety of securities law violations, including cases against:
- Bored at Work and its founder, Marcos Tamayo, a former airline baggage handler, who allegedly acted as an unregistered investment adviser in connection with more than $170 million of retirement assets for colleagues;
- Cherubim Interests, PDX Partners, and Victura Construction Group, in which the Commission suspended trading in the securities of three microcap issuers;
- Pacific Investment Management Company (PIMCO), in which the Commission charged fraud and mispricing violations in connection with what quickly became a $1 billion bond exchange traded fund; and
- Multiple investment advisers that agreed to return millions of dollars to retail investors and self-reported their failure to adequately disclose conflicts of interest related to the sale of higher-cost mutual fund share classes where lower-cost share classes were available, in connection with the Division of Enforcement’s Share Class Selection Disclosure Initiative (SCSDI).
Prior to joining the SEC staff, Zoladz practiced securities and complex commercial litigation.