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Barbara Mallon

  • Securities Law
  • Illinois
Claimed Lawyer Profile

I am a Securities Regulation attorney, having worked at the SEC for nearly ten years. My practice is focused on investment adviser and broker-dealer compliance. To that end my practice involves counseling clients on securities -related issues, conducting mock SEC audits, training registered personnel on various issues involving SEC law, responding to SEC and FINRA deficiency letters, investigations and legal actions and handling state securities law matters.

Practice Area
Securities Law
Jurisdictions Admitted to Practice
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Contact & Map
120 North LaSalle Street
Suite 2100
Chicago, IL 60602-2423
Telephone: (312) 346-8892