Advising clients about securities regulations that impact their business, and how to comply with those regulations.
MALLON & JOHNSON is a law firm with a national practice concentrated in securities regulation, securities consulting and related litigation. Although the firm handles matters of varied size, as an overall goal we have made a concentrated effort to accept representation in complex and challenging securities law and regulatory matters.
What sets our Chicago based firm apart is the substantial regulatory experience of our attorneys. Drawing on their years of experience as former attorneys at the Securities and Exchange Commission, including experience in the SEC's Office of Regulation, helps these lawyers provide investment advisers, broker-dealers, registered persons, SEC registered companies, individual investors and law firms with a unique insight into the regulatory environment.
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.
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.
Ms. Mallon's practice is focused exclusively on advising investment advisers, broker-dealers, and investment companies for the purpose of maintaining regulatory compliance for those entities
Mr. Johnson's regulatory and litigation experience has encompassed virtually every type of securities dispute imagined, including insider trading, fraud and misrepresentation, churning, unsuitability…