MALLON AND JOHNSON - Key Persons

Barbara Mallon

Job Titles:
  • Principal in the Law Firm of Mallon & Johnson
Barbara Mallon is a principal in the law firm of Mallon & Johnson, a firm concentrating its practice in securities regulation and litigation. Prior to co-founding Mallon & Johnson, Ms. Mallon worked at the SEC for almost 10 years first as an enforcement attorney, and later as an attorney adviser for the Regulatory side. In that role, she counseled SEC examiners on investment company and investment adviser regulations, conducted legal reviews necessary for SEC examinations, and responded to public inquiries concerning advisers and mutual funds.

Dexter B. Johnson

Job Titles:
  • Legal Services
  • Member of the Illinois
His practice includes advising investment advisers, financial planners, broker-dealers, hedge funds, CPA firms, their registered personnel, and public and private companies to navigate the maze of securities regulation that impact success. His lengthy experience includes advising, litigating and serving as lead counsel on all phases of regulatory examinations and investigations, registration, enforcement defense, internal investigations, handling related litigation and arbitrations, and conducting due diligence and advising in mergers and acquisitions of financial service firms. He has more than 35 years experience in securities and financial regulatory and related litigation matters. His regulatory and litigation experience has encompassed virtually every type of securities dispute imagined, including insider trading, fraud and misrepresentations in offerings and financial transactions, churning, unsuitability, unauthorized trading, breach of fiduciary duty, illegal or excessive markups, selling away, political contributions, anti-money laundering, margin violations, clearing broker liability, books and records violations, anti-money laundering, and failure to supervise issues, and SEC whistleblower claims. Prior to co-founding Mallon & Johnson, he worked at the United States Securities and Exchange Commission. While with the SEC, Mr. Johnson prosecuted enforcement actions in both the public and private sector involving securities fraud, including, accounting fraud, investment adviser and broker-dealer rule violations, Ponzi schemes, and books and records violations. Prior to that Mr. Johnson was in private practice where his practice involved financial litigation and regulation. Mr. Johnson is a member of the Illinois bar and the federal bar of the Northern District of Illinois. He has been admitted to practice Pro Hac Vice in numerous other states. He received his law degree from Georgetown University Law Center, where he was a law review editor for the American Criminal Law Review. He received his B.B.A from the University of Miami, Florida. After law school, Mr. Johnson served for two years as a judicial law clerk to a United States Federal District Court Judge. In the past he has served as Co-Chair of the Securities Law Committee of the Chicago Bar Association; Vice Chair of the Securities Law Committee of the Chicago Bar Association; and Co-Chair of the Securities Litigation and Enforcement Committee of the Chicago Bar Association.