The Securities and Exchange Commission today announced that Kurt L. Gottschall has been named the Associate Regional Director for enforcement in the Denver office.
Mr. Gottschall began working as a staff attorney in the Denver office’s Division of Enforcement in 2000, before becoming a Branch Chief in 2003, and an Assistant Regional Director in 2010. Since 2012, he worked in the Asset Management Unit, which focuses on misconduct by investment advisers and investment companies. 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 an alternative fund manager for overcharging management fees and misleading investors about how it valued certain assets that ordered more than $6.4 million in monetary relief
- An enforcement action against an Omaha investment adviser for failing to seek the most favorable mutual fund share classes in three funds that it managed
- Fraud charges and an emergency asset freeze against the promoters of a $30 million Ponzi scheme
- A financial fraud case against six executives of a Kansas-based insurance agency franchisor and lender
“Kurt’s deep knowledge of the securities laws, creative thinking, and extensive experience will be significant assets in his new role,” said Andrew J. Ceresney, Director of the SEC’s Enforcement Division. “The Denver office’s enforcement efforts have been immensely productive and I am sure Kurt’s leadership will only enhance their success.”
Julie Lutz, Director of the SEC’s Denver Regional Office, added, “Kurt is respected throughout the Denver Regional Office for his outstanding track record in producing significant enforcement cases, and he has been instrumental in developing the office’s Asset Management Unit into a strong vehicle for collaboration with exam staff and national unit personnel. He brings extraordinary judgment and analytical skill to leading the DRO’s talented enforcement staff.”
Mr. Gottschall said, “For the past 16 years, it has been a privilege to work with the talented, experienced, and dedicated staff of the Denver Regional Office. I am looking forward to leading the enforcement team in Denver as we continue our important mission of investor protection.”
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.