Mr. Mahoney has represented firms and individuals in connection with SEC, FINRA, and state regulatory examinations, regulatory and enforcement actions, client and industry arbitrations, and general litigation. Most of his work has been concentrated on representing institutional and retail investment advisors and broker-dealers and providing counsel to management and employees. He has also worked as a chief compliance officer of an investment management firm and as an anti-money laundering compliance officer of a mutual fund complex.
Additionally, Mr. Mahoney has held various in-house counsel and senior management positions within financial services enterprises. His wide array of experience as a regulator and representing firms and individuals gives him valuable perspective to assist Clients in resolving their problems.
New England Broker-Dealer and Investment Adviser Association, Member
IXIS Asset Management Advisors, L.P., Legal and Compliance Department, Senior Vice President, Deputy General Counsel, and Chief Compliance Officer. Co-chair of the firm's due diligence committee; Anti-Money Laundering Compliance Officer of the IXIS Advisor Funds and the Loomis Sayles Funds.
Bar and Court Admissions