Amal Shailesh Amin is Of Counsel with the firm of MALLON & JOHNSON. At MALLON & JOHNSON, Mr. Amin’s practice is focused on Securities Regulation, Corporate Governance, and Private Securities Transactions.
Mr. Amin represents clients in examinations and enforcement proceedings before FINRA and the SEC. Mr. Amin counsels companies on offerings of their own securities, as well as counseling broker-dealers and investment advisers on conducting securities offerings for operating companies and pooled investment funds.
Mr. Amin also has significant experience counseling companies in matters of risk management, and has served as a member of executive management for a financial services company.
Prior to joining MALLON & JOHNSON, Mr. Amin served as the General Counsel of a financial services holding company, and one of its broker dealer subsidiaries. In this role, Mr. Amin oversaw the sale of multiple broker-dealer and investment adviser subsidiaries, in addition to assisting in the review and due diligence of contemplated acquisitions.
In addition to this, Mr. Amin participated in the due diligence process for offerings conducted by the various broker-dealer subsidiaries, and oversaw significant regulatory, litigation and arbitration matters.
Mr. Amin graduated from the George Washington University with a B.A. in German and Economics, and from the DePaul University College of Law with a J.D.