Barbara Anne Mallon

Top rated Securities & Corporate Finance attorney in Chicago, Illinois

Mallon & Johnson, P.C.
Barbara Anne Mallon
Mallon & Johnson, P.C.

Practice Areas: Securities & Corporate Finance, Securities Litigation

Licensed in Illinois since: 1986

Education: The John Marshall Law School

Selected to Super Lawyers: 2017 - 2024

Mallon & Johnson, P.C.

120 North LaSalle Street
Suite 2100
Chicago, IL 60602 Phone: 312-346-8892 Email: Barbara Anne Mallon Visit website


My practice is focused exclusively on advising investment advisers and broker-dealers for the purpose of maintaining regulatory compliance for those entities.  To that end, my primary activities in advising clients are the following: 1) consulting on SEC, FINRA and state regulations and compliance with those regulations, 2) preparing clients for regulatory examinations and assisting with deficiency letter responses, 3) defending regulatory clients in SEC, FINRA, state and private actions regarding the same,  4) conducting annual reviews, 3012 reviews, focused reviews, and AML testing for my regulated clients,  5)assisting clients with registrations and form filings including Form BD, ADV, Part1A and 2A, Form PF and ancillary state filings, and 6) training my clients' representatives through Firm Element training and annual compliance meetings in order to meet regulatory obligations and further a culture of compliance.

In addition, I have served as an Independent Consultant in SEC orders on numerous matters.

First Admitted: 1986, Illinois

Professional Webpage:

Educational Background:
  • Northwestern University, B.A. Political Science, The John Marshall Law School, J.D., St. Xavier University, M.A. in Education  
  • AV Rating by Martindale Hubbell, Listed in Bar Register of Preeminent Attorneys 2013 (Securities), Who's Who in Executives and Professionals, National Registry of Who's Who
Scholarly Lectures/Writings:
  • Chapter 5, Investment Adviser Regulation, ICLE Securities Law Handbook (2003),  Chapter 20, SEC Enforcement, ICLE Securities Law Handbook (1996), "Limited Safe Harbor for Soft Dollar Payments", Compliance Chekcs, Volume II, Issue 5, "Supervising Sub-Advisers", NSCP Currents Magazine, April/May 2002, "Supervising Registered Representatives who are Indpendent Advisers", Compliance Checks, Volume I, Issue 5, "Insider Trading in Non-Equity Securities", Review of Securities and Commodities Regulation, Vol. 26, Issue 15, 20 Ways to Lose Your License, BISA Magazine, BISA, 2016
  • This article identifies the indicia of diminished capacity and elder abuse and offers common sense solutions for what financial advisors can do when confronted with these situations., Author, Diminished Capacity and Elder Abuse - a Financial Advisor's Duty, BISA Magazine, Financial Advisors, 2020
Pro bono/Community Service:
  • Volunteer for Chicago Volunteer Legal Services, Foreclosure Defense, Adult Guardianship and Consumer Actions., 2020
Bar/Professional Activity:
  • Published Article with BISA Magazine titled "Diminished Capacity and Elder Abuse- a Financial Advisor's Duty" in May 2020., 2020
Industry Groups:
  • Broker-Dealers and Investment Companies
  • Investment Advisers

Office location for Barbara Anne Mallon

120 North LaSalle Street
Suite 2100
Chicago, IL 60602


8 Years Super Lawyers
  • Super Lawyers: 2017 - 2024

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