Investment Advisor Regulatory and Compliance Matters
Broker-Dealer Regulatory
and Compliance Matters
Regulatory Examinations, Inquiries, and Enforcement Actions
Arbitration and Litigation
Provide Legal and Regulatory Counsel on New Business Initiatives
Legal Agreement Review and Drafting
General Business and Corporate Law Representation
Temporary Counsel and Compliance Assignments
_Securities Law Practice Areas
 

Temporary Counsel and Compliance Assignments
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The Firm is generally available to act as interim general counsel and to provide day-to-day compliance advice for Clients experiencing resource challenges.

Mr. Mahoney's focused experience on regulatory and securities law issues, coupled with his 20 years of general corporate and business representation can provide Clients with cost-effective engagements.

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