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Column: “Both Costly and Ineffective?” – As seen on

On February 14, 2014, ran Patrick Mahoney’s editorial, Both Costly and Ineffective?, as part of his periodic column, The Legal Rep.  A link to the article is available HERE.   This week FINRA’s Board of Directors authorized FINRA to seek comment on a proposed rule that would require firms to “include a readily apparent reference and link […]

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Attorney Patrick Mahoney Quoted in Investment News Concerning Broker Disciplinary Records

In response to the SEC’s approval of FINRA’s request to share more information about brokers’ disciplinary records, Patrick Mahoney was featured in the Investment News article entitled: FINRA gets OK to share more info about reps’ disciplinary records. In short, the article highlights the fact that FINRA will now be making available even more detailed information […]

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