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Updated: January 2nd, 2021 | Chicago | Lawyer List B | Mallon & Johnson |
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Address: 120 North LaSalle St, Suite 2100, chicago, IL, 60602
Law Firm: Mallon & Johnson
Phone: 312-346-8890
Fax: 312-346-8896
Email:
Website: http://www.mallonandjohnson.com/
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| Description | Member, National Registry of Who’s Who. Senior Attorney, U.S. Securities and Exchange Commission, Office of Regulation and Division of Enforcement, 1986-1996. Author: ‘Investment Adviser Regulation,’ ICLE Securities Law Practice Handbook, 2003; ‘Limited Safe Harbor for Soft Dollar Payments,’ Compliance Checks, May 2002; ‘Supervising Sub-Advisers: The Legg-Mason Case,’ Currents, April/May 2002; ‘Supervising Register Representatives Who are Independent Investment Advisers,’ Compliance Checks, September 2001; ‘Impact of the 1996 Reform Act on Investment Advisers,’ Charles W. Schwab Newsletter December 1996; ‘Insider Trading in Non-Equity Securities,’ Review of Securities and Commodities Regulation, September, 1993; ‘SEC Enforcement,’ ICLE Securities Law Practice Handbook, (1991, 1996, 2003). |
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