Mallon & Johnson offers the following services specifically for broker-dealers and their agents:

• Registering firms as broker-dealers with the FINRA and states, along with their agents
• Conducting an independent testing of firm’s AML procedures
• Advising firms on the myriad of FINRA, SEC and state securities regulations
• Assisting broker-dealers in mandatory supervisory controls reviews
• Conducting mock SEC audits of broker-dealers and preparing a comprehensive report of our findings.
• Drafting written supervisory procedures, including anti-money laundering programs.
• Representing broker-dealers and registered representatives in regulatory investigations and proceedings before the FINRA and the SEC
• Defending against arbitration claims relating to client complaints, unlawful terminations, and other employee issues