About Patrick

Patrick Mahoney


Patrick began his career with the law firm Keesal Young & Logan–one of the top securities defense firms in the country. While with Keesal Young & Logan, Patrick’s practice areas focused on defending some of the largest broker-dealers in the country in litigation involving investor complaints and employment disputes involving financial advisors before the Financial Industry Regulatory Authority. Recognizing a need for individual representation for financial advisors, Patrick broke from the mold and opened The Law Offices of Patrick R. Mahoney, P.C. at the end of 2013. Since then, PRM P.C. has grown into a full service law firm focused on: arbitration and litigation arising out of the financial services industry; and providing general legal and advising services to high net worth and high profile individuals.

SELECTED BY SUPERS LAWYER MAGAZINE AS ONE OF ITS “UP-AND-COMING 100” RISING STARS IN 2017, 2018, 2019, 2020, 2021, 2022, and 2023.

Every year, Super Lawyers magazine attempts to identify the top lawyers in the country. For the last seven consecutive years, Super Lawyers identified Patrick as one of the top 100 “up-and-coming” attorneys in all Southern California.

NOMINATED AS A 2015, 2016, 2017, 2018, 2019, 2020, 2021, 2022, and 2023 SUPER LAWYERS “RISING STAR”

Patrick’s peers have selected him as a “Rising Star” for the last 9 consecutive years, which is a designation provided by Super Lawyers magazine. It is awarded to no more than 2.5% of all attorneys. To be eligible in Rising Stars, candidates must be either 40 years old or younger or in practice for 10 years or less.


Patrick is routinely quoted, sourced, and published in investment related publications where he has commented on securities industry-related legal topics:

Patrick’s Publications and Lectures

  • Trends in Preventing Senior Financial Abuse, Practicing Law Institute, Vol. 2, No. 1, Summer 2019
  • Official comment on FINRA Regulatory Notice 17-42 concerning FINRA’s proposed changes to the expungement process (February 5, 2018). CLICK HERE
  • Editorial, FINRA’s Troublesome Rule to Keep Clients Out of Expungement Requests, www.wealthmanagement.com (April 22, 2014) CLICK HERE
  • Editorial, Both Costly and Ineffective, www.wealthmanagement.com (February 17, 2014). CLICK HERE
  • Editorial, Surpise! How Did Long-Forgotten, Minor Complaints Abruptly Appear on BrokerCheck?,www.WealthManagement.com (January 17, 2014). CLICK HERE
  • Editorial, FINRA’s Proposed Changes to the Broker Expungement Process, www.WealthManagement.com (December 11, 2013). CLICK HERE
  • Editorial, Petty Crimes on Broker Records – Can they be expunged?, www.WealthManagement.com (November 22, 2013). CLICK HERE
  • Editorial, The Brokers Case for a Chance at a Clean Record, InvestmentNews Magazine, Vol. 17, No. 31 (August 19-23. 2013). CLICK HERE
  • FINRA Stock Broker Expungement – A flawed system of unavoidable conflict between investor, broker, and broker-dealer; San Diego County Bar Association – Business and Corporate Law Section monthly article and lecture, (May 2013). CLICK HERE

Patrick Quoted in the News

  • Mark Schoeff Jr., FINRA considers increasing liquidity requirements from brokerages, Investment News (June 14, 2023). CLICK HERE
  • Mark Schoeff Jr., Investors will be able to see whether a brokerage has been flagged for having a history of misconduct or employing a number of reps with disciplinary violations, Investment News (February 10, 2023). CLICK HERE
  • Megan Leonhardt, PIABA Slams Nine Brokerages, But is Their Report Sound, www.wealthmanagement.com), March 25, 2015. CLICK HERE
  • Megan Leonhardt, The Risks of a Solo Practice, REP. Magazine, Vol. 37, No. 11 (November 2013). CLICK HERE
  • Mark Schoeff Jr., Finra nudging brokers toward a fiduciary standard?, www.InvestmentNews.com, (October 15, 2013). CLICK HERE
  • Mark Schoeff Jr., All-public Finra arb panels get big boost with SEC rule, InvestmentNews.com (September 19, 2013). CLICK HERE
  • Mark Schoeff Jr., ‘Follow the Money’ radio host gets 20 years in prison, InvestmentNews.com (July 17, 2013). CLICK HERE


  • Prosecuted multiple cases arising out of the same pattern of behavior against a major national, broker-dealer that resulted in millions paid in settlement on behalf of multiple, high-profile clients. The case led to a criminal indictment.
  • Negotiated a seven figure settlement in an employment dispute on behalf a financial advisor against a major, national broker-dealer.
  • Earned one of the largest FINRA arbitration awards for a defendant. Claimants alleged 14 causes of action against Patrick’s client, including, among other allegations: breach of contract, fraud, and breach of fiduciary duty. Claimants’ demanded over $600,000 in damages. The FINRA arbitration panel denied all of claimants’ claims, recommended expungement of Patrick’s client’s Central Registration Depository (“CRD”) record, and awarded $150,000 plus interest to his client in defense of the lawsuit.
  • Successfully earned expungement recommendations of 5 customer complaints from a Central Registration Depository (“CRD”) record relating to Prudential Limited Partnerships.
  • Handled dozens of matters seeking expungement of customer complaints CRD records and successfully earned expungement recommendations on more than 90% of the cases he has tried.
  • Successfully handled upwards upwards of 75 matters involving the defense of numerous international banks involving mortgage banking disputes. Routinely earned prelitigation dismissals of Plaintiffs’ claims.
  • Successfully negotiated a complex multi-party settlement involving 3 international banks and multiple individuals relating to a mortgage banking dispute before California state court.
  • Earned a complete defense verdict in a FINRA arbitration hearing where plaintiff alleged $100 million in damages in connection with fraud-related allegations earning a complete defense verdict;
  • Represented an international bank in connection with a series of high-profile lawsuits arising out of a highly publicized ponzi scheme;
  • Successfully moved to dismiss after Plaintiff’s case-in-chief in a FINRA arbitration hearing that involved allegations of tax-related fraud;
  • Defended a series of multi-million dollar lawsuits brought in connection with the failure of a prominent hedge fund.


Patrick graduated cum laude from the University of San Diego with a degree in English where he also earned his Juris Doctor. During law school, Patrick participated in Mock Trial competitions and studied international arbitration at Oxford.


Patrick is admitted to practice law in all state and federal courts in California, including the Ninth Circuit Court of Appeals.