Skilled and experienced legal advice and guidance for your business
About Attorney Max J. Mahoney
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 staff attorney with the Boston Stock Exchange, where he worked primarily on corporate, securities, regulation and enforcement matters. He built on that experience as a regional attorney with the predecessor of FINRA (f/k/a NASD) and continued his career holding several in-house counsel and senior management positions with financial services firms. His experience as a regulator, general counsel and CCO of RIAs and BDs allows him to work with skill, judgment and well-judged perspective to assist clients in resolving their legal and compliance issues.
Bar and Court Admissions
Mr. Mahoney is a member of the bar of the Commonwealth of Massachusetts and of the United States District Court for the District of Massachusetts.
Education
J.D. New England School of Law, Boston, Massachusetts
B.S. Economics and Finance, University of Hartford, West Hartford, Connecticut
Our Commitment to You
Dedicated Client Service
Our firm strives to deliver excellent legal advice and representation tailored to each client’s unique needs. Our commitment to personalized representation ensures that every client receives the attention and expertise necessary to navigate complex legal and regulatory landscapes.
We often build lasting relationships with our clients, founded on open communication, trust and our proficiency in financial services law. Our approach is collaborative, and we work to empower our clients with the knowledge and confidence needed to make informed decisions. Whether you are a start-up or a fully developed enterprise, our goal is to deliver excellent advice, options and results while maintaining the highest standards of professionalism and integrity.
Schedule Your Consultation Today
Our experienced team is ready to assist you. Contact us now to discuss your specific concerns and how we can assist you.