Legal Services
Mallon & Johnson primarily provides legal services to investment advisers, broker-dealers and investment companies, and related registered persons. These services range from SEC, FINRA and State securities enforcement proceedings defense, registering a firm and ensuring it is compliant with SEC and FINRA requirements, to internal investigations and consultations on advisory or brokerage matters, to mock SEC audits to representation in any securities related actions, and broker-dealer litigation and arbitration.
Audit Services
As part of our services to clients, we also offer compliance auditing in order to detect any compliance issues and more importantly remediate them. For advisers and broker-dealers, these audits may take the form of a mock SEC or FINRA audit to prepare for SEC or FINRA registration, annual reviews that are required for investment advisers or due diligence reviews if an adviser or broker-dealer is contemplating acquiring or selling a business.
