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Barbara Mallon

Securities and investment fraud Attorney at Chicago, IL

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About Barbara

Learn Barbara’s areas of practice.

My practice is focused exclusively on advising investment advisers and broker-dealers for the purpose of maintaining regulatory compliance for those entities.  To that end, my primary activities in advising clients are the following: 1) consulting on SEC, FINRA and state regulations and compliance with those regulations, 2) preparing clients for regulatory examinations and assisting with deficiency letter responses, 3) defending regulatory clients in SEC, FINRA, state and private actions regarding the same,  4) conducting annual reviews, 3012 reviews, focused reviews, and AML testing for my regulated clients,  5)assisting clients with registrations and form filings including Form BD, ADV, Part1A and 2A, Form PF and ancillary state filings, and 6) training my clients' representatives through Firm Element training and annual compliance meetings in order to meet regulatory obligations and further a culture of compliance.

Licensed for 36 years
State IL
Status Active And Authorized To Practice Law
Acquired 1986
Updated 10/11/2022

We have not found any instances of professional misconduct for this lawyer.

Contact Barbara

Mallon & Johnson
33 North Dearborn Street Suite 300
Chicago, IL, 60602
Mallon & Johnson
33 N. Dearborn St.
Suite 300
Chicago, IL, 60602
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Reviews

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Cost

Rates
  • Retainer Sometimes
Payment methods
Check, Credit Card

Resume

AVVO RATING 9.5 (Superb)

Work Experience

  • Principal
  • Mallon & Johnson
  • 1996 - 2015
  • Investment Adviser/ Investment Company Attorney-Adviser
  • U. S. Securities & Exchange Commission
  • 1994 - 1996
  • Senior Enforcement Attorney
  • U. S. Securities & Exchange Commission
  • 1990 - 1994
  • Enforcement Attorney
  • The U.S. Securities Exchange Comission
  • 1986 - 1990
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Education

  • John Marshall Law School, Chicago
  • JD - Juris Doctor
  • 1986
  • Northwestern University
  • BA - Bachelor of Arts
  • 1980

Legal Cases

  • SEC v. Morse
  • Settlement

Associations

  • National Association of Compliance Porfessionals
  • Member
  • 2005 - Present
  • Illinois State Bar Association
  • Member
  • 1996 - Present
  • Chicago Bar Association
  • Member
  • 1996 - Present
  • Chicago Bar Association
  • Chair, Securities Law Committee
  • 2000 - 2001
  • Chicago Bar Association
  • Subcommitte chair, Investment Management
  • 1999 - 2000
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Languages Spoken

  • English

Awards

  • ACAMs
  • Association of Certified Ant-Money Laundering Specialists
  • 2014
  • AV Rating
  • Martindale-Hubbell
  • 2013
  • Bar Register of Preeminent Lawyers
  • Martindale-Hubbell
  • 2013
  • Bar Register of Preeminent Women Lawyers
  • Martindale Hiubbell
  • 2013
  • National Registry of Who's Who In Executives and Professionals
  • National Registry of Who's Who in Executive Professionals
  • 2002
  • National Registry of Who's Who
  • National Registry of Who's Who
  • 1999
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Publications

  • Compliance Checks
  • Limited Safe Harbor for Soft Dollar Payments"
  • 2002
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Speaking Engagements

  • BISA Spring Conference
  • Cybersecurity for Advisers
  • 2015
  • NAPFA NAtional Conference
  • 50 Ways to Lose Your LIcense
  • 2014
  • NAPFA BAsic Training Conference
  • Business Entities and Compliance
  • 2006
  • CBA - Securities Law Institute
  • Investment Adviser Updates
  • 2006
  • CBA - Securities Law Institute
  • Hedge Fund Advisers Regulation
  • 2005
  • ISBA - Securities Law Updates
  • Illinois Investment Adviser Regulation
  • 2004
  • Investment Adviser Boot Camp
  • Investment Adviser Trading
  • 2001
  • Investment Adviser Bootcamp
  • Performance Advertising
  • 1999
  • Annual Compliance Meeting
  • Suitability Reviews
  • 1999
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Chicago Securities and investment fraud Lawyer Barbara Mallon
Barbara Mallon
Securities and investment fraud Attorney
Chicago, IL
Licensed for 36 years