Securities Law Practice Overview
........................................................................................

Mr. Mahoney has over 20 years of legal experience as a securities regulatory and enforcement attorney, as well as in-house counsel to broker-dealers, investment advisors, and other financial services firms. The Firm seeks to provide integrated legal, compliance, and business advice to securities and investment firms and individuals in order to more fully address the complex issues that confront these enterprises.

As a former regulator and in-house counsel, Mr. Mahoney has the experience and perspective to successfully assist Clients as they work to achieve the best possible solutions to their legal, compliance, and regulatory issues. Mr. Mahoney has been very successful in developing integrated strategies to address Client needs. By combining legal counsel with compliance and business advice, the Firm assists Clients in identifying complete solutions to legal and regulatory issues and new business developments.

Over the course of his career, Mr. Mahoney has also developed professional relationships with highly specialized attorneys, accountants, consultants, auditors, and other experts that are available to assist Clients when necessary. Through this network, the Firm can quickly and easily expand the field of available resources to properly address a Client's unique or complex situation.
Representative Clients include national and regional broker-dealers, mutual fund distributors, investment management firms, insurance companies, financial planning firms, and securities subsidiaries of banks. The Firm represents compliance officers, registered representatives, portfolio managers, officers, directors, and trustees. The Firm also works with Clients and regulators to establish new investment advisory and broker-dealer firms, and represents Clients in general corporate and business law matters.