Max Mahoney has been practicing law for over 20 years in various capacities as a regulatory and enforcement attorney, in-house counsel, and general counsel of financial services firms.  In addition to his concentration in securities regulation and business law, Mr. Mahoney has been representing individuals and families in real estate, estate planning, wills, trusts, and probate law matters.


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.

Professional Activities:

New England Broker-Dealer and Investment Adviser Association, Member
FINRA Dispute Resolution, Arbitrator

Professional Experience:

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.
MetLife, Inc., Law Department, Senior Counsel
LPL Financial Services, Inc., Legal Department, Associate Counsel
Linux Open Source Capital, Inc., General Counsel
John Hancock Financial Services, Law Department, Associate Counsel
NASD, Inc. and NASD Regulation, Inc., Senior Regional Attorney
Boston Stock Exchange, Inc., Staff Attorney
Peak Ridge Capital Group, Inc., Advisory Board and Investment Committee Member

Bar and Court Admissions
Mr. Mahoney is admitted to practice in Massachusetts, including the U.S. District Court.

Education
J.D. New England School of Law, 1988
B.S. University of Hartford, 1985 (Economics and Finance, cum laude)