Max Mahoney guides investment advisers, broker-dealers and private investment funds in their compliance with federal and state securities laws and regulations, and FINRA and exchange rules. Max advises clients on the full spectrum of business operations, including registrations, trading, internal controls, portfolio management, reporting, advertising, compliance programs, succession planning, combinations, acquisitions and related issues. He also counsels other financial services and fintech firms, such as trading systems, banks and insurance companies, on securities issues associated with their operations and business lines.
Mr. Mahoney began his legal career as a securities and enforcement attorney with the Boston Stock Exchange and with the National Association of Securities Dealers (NASD, now FINRA) and continued his career holding several in-house counsel and senior management positions within financial services firms. His experience as a regulator, general counsel and CCO of RIAs and BDs allows him to represent clients with skill, judgment and the proper perspective to assist them in resolving their legal and compliance problems.
Bar and Court Admissions
Mr. Mahoney is a member of the bars of the Commonwealth of Massachusetts and the United States District Court for the District of Massachusetts.
J.D. New England School of Law, Boston, Massachusetts
B.S. Economics and Finance, University of Hartford, West Hartford, Connecticut