Washington D.C., Nov. 19, 2018 — The Securities and Exchange Commission today announced that Kurt L. Gottschall has been named Director of the Denver Office.
Mr. Gottschall began working in the Division of Enforcement in the Denver office in 2000 as a staff attorney before becoming a Branch Chief in 2003 and an Assistant Regional Director in 2010. From 2012 to 2016, he was a supervisor in the Asset Management Unit, which focuses on misconduct by investment advisers and investment companies. In 2016, he was named Associate Regional Director for enforcement in the Denver office.
As Director of the Denver Regional Office, Mr. Gottschall will lead a staff of more than 100 enforcement attorneys, accountants, investigators, and compliance examiners involved in the investigation and prosecution of enforcement actions and the performance of compliance inspections in the Denver region.
During his career with the SEC, Mr. Gottschall has investigated or supervised dozens of enforcement matters involving a variety of securities law violations, including charges against:
- A Boulder, Colorado-based biopharmaceutical company, its CEO, and its former CFO for misleading investors about the company’s developmental lung cancer drug
- The Dow Chemical Company for inadequate perquisite disclosures
- A Maryland-based biotech company and four former top executives for prioritizing revenue growth over lawful accounting and misleading investors in the process
- SeaWorld Entertainment Inc. and its former CEO and vice president of communications for misleading investors about the impact the documentary film Blackfish had on the company’s reputation and business
- A Salt Lake City-based brokerage firm for allegedly failing to file required SARs and omitting material red flags or other suspicious information from thousands of its SAR filings.
“Kurt is highly respected throughout the Denver office’s jurisdiction,” said Stephanie Avakian, Co-Director of the SEC’s Division of Enforcement. “During his 18-year career at the SEC, he has established an outstanding track record for evaluating, managing and producing significant and varied enforcement cases.”
“Kurt has served the Denver office with great distinction,” said Steven Peikin, Co-Director of the SEC’s Division of Enforcement. “He is known for being a strong and effective leader who has a keen mind and sound judgment, and we are fortunate to have him lead the SEC’s Denver-based enforcement team.”
“Kurt has displayed exceptional leadership during his many years in the SEC’s Division of Enforcement and has been a great partner to the examination program,” said Peter B. Driscoll, Director of the SEC’s Office of Compliance Inspections and Examinations. “We are delighted to have him leading our high-performing examination team in Denver.”
Mr. Gottschall said, “I am honored and excited by the opportunity to lead the Denver Regional Office. In serving in this office for almost two decades, I have seen firsthand the dedication and talent of the Denver staff. I look forward to continuing our work to protect investors and maintain fair and orderly markets.”
Before joining the SEC staff, Mr. Gottschall worked as a litigation associate at Sherman & Howard L.L.C. in Denver and Sheppard, Mullin, Richter & Hampton L.L.P. in Los Angeles. Mr. Gottschall earned his law degree with honors from the University of California’s Hastings College of the Law in 1995, and his bachelor’s degree in economics and government with honors from Claremont McKenna College in 1992.