About
Barbara Mallon is a Securities Regulation attorney with nearly ten years of experience at the SEC, focusing on investment adviser and broker-dealer compliance. Barbara Mallon is a highly experienced Securities Regulation attorney based in Chicago, Illinois. With almost a decade of experience working at the Securities and Exchange Commission (SEC), Barbara has a deep understanding of investment adviser and broker-dealer compliance. Her practice is dedicated to counseling clients on securities-related issues, conducting mock SEC audits, training registered personnel on various SEC law matters, responding to SEC and FINRA deficiency letters, investigations, legal actions, and handling state securities law matters. As a former SEC attorney, Barbara Mallon brings a unique perspective to her practice, providing her clients with valuable insights and strategic advice to navigate the complex world of securities regulation. She is known for her meticulous attention to detail, thorough understanding of regulatory requirements, and her ability to effectively represent clients in regulatory matters. Barbara Mallon is committed to helping her clients achieve compliance with securities laws and regulations, while also protecting their interests and ensuring their continued success in the financial industry. With her extensive experience and expertise in securities regulation, Barbara Mallon is a trusted advisor for clients seeking guidance on compliance matters and regulatory issues. In conclusion, Barbara Mallon is a dedicated Securities Regulation attorney with a wealth of experience and knowledge in the field. Her practice is centered around providing top-notch legal services to clients in need of guidance on securities compliance matters. If you are in need of a skilled and experienced attorney to assist you with securities regulation issues, Barbara Mallon is the lawyer to call.
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