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About me

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.

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Practice areas

Licensed

  1. Investment Fraud: 100%
    30 years

Payment

Fees:

Fixed (sometimes), Retainer (sometimes)

Payment types:

Check, Credit card

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Contact info

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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Resume

License
StateStatusAcquiredUpdated
ILActive And Authorized To Practice Law198605/11/2016
We have not found any instances of professional misconduct for this lawyer.
Avvo contributions
Legal answers
Awards
Award nameGrantorDate granted
ACAMsAssociation of Certified Ant-Money Laundering Specialists2014
AV RatingMartindale-Hubbell2013
Bar Register of Preeminent LawyersMartindale-Hubbell2013
Bar Register of Preeminent Women LawyersMartindale Hiubbell2013
National Registry of Who's Who In Executives and ProfessionalsNational Registry of Who's Who in Executive Professionals2002
National Registry of Who's WhoNational Registry of Who's Who1999
Work experience
TitleCompany nameDuration
PrincipalMallon & Johnson1996 - 2015
Investment Adviser/ Investment Company Attorney-AdviserU. S. Securities & Exchange Commission1994 - 1996
Senior Enforcement AttorneyU. S. Securities & Exchange Commission1990 - 1994
Enforcement AttorneyThe U.S. Securities Exchange Comission1986 - 1990
Associations
Association namePosition nameDuration
National Association of Compliance PorfessionalsMember2005 - Present
Illinois State Bar AssociationMember1996 - Present
Chicago Bar AssociationMember1996 - Present
Chicago Bar AssociationChair, Securities Law Committee2000 - 2001
Chicago Bar AssociationSubcommitte chair, Investment Management1999 - 2000
Legal cases
Case nameOutcome
SEC v. MorseSettlement
See all legal cases 
Publications
Publication nameTitleDate
Illinois Institute of Continuing Legal Education (Illinois)Investment Adviser Regulation2003
Compliance ChecksLimited Safe Harbor for Soft Dollar Payments"2002
CurrentsSupervising Sub-Advisers2002
Compliance ChecksSupervising Registered Representatives who are Independent Advisers2001
Illinois Institute for Continuing Legal EducationSEC Enforcement1996
The Review of Securities and Commodities RegulationInsider Trading in Non-Equity Securities1996
Compliance Review - Charles W. SchwabImpact of NSMIA on Investment Advisers1996
Education
School nameMajorDegreeGraduated
John Marshall Law School, ChicagoLawJD - Juris Doctor1986
Northwestern University School of LawPolitical ScienceBA - Bachelor of Arts1980
Speaking engagements
Conference nameTitleDate
BISA Spring ConferenceCybersecurity for Advisers2015
NAPFA NAtional Conference50 Ways to Lose Your LIcense2014
NAPFA BAsic Training ConferenceBusiness Entities and Compliance2006
CBA - Securities Law InstituteInvestment Adviser Updates2006
CBA - Securities Law InstituteHedge Fund Advisers Regulation2005
ISBA - Securities Law UpdatesIllinois Investment Adviser Regulation2004
Investment Adviser Boot CampInvestment Adviser Trading2001
Investment Adviser BootcampPerformance Advertising1999
Annual Compliance MeetingSuitability Reviews1999