Amal Shailesh Amin

About

Amal S. Amin serves as Of Counsel at Mallon & Johnson, where he brings a wealth of expertise in Corporate Governance and Securities Regulation to his clients in Illinois and beyond. With a keen focus on Private Securities Transactions, Mr. Amin adeptly navigates the complexities of securities law, representing clients in examinations and enforcement proceedings before regulatory bodies such as FINRA and the SEC. His comprehensive understanding of the intricacies involved in securities offerings enables him to provide invaluable counsel to companies seeking to issue their own securities, as well as to broker-dealers and investment advisers engaged in securities offerings for operating companies and pooled investment funds. Mr. Amin's extensive experience in risk management further enhances his ability to guide clients through the regulatory landscape. His background includes a significant tenure as General Counsel for a financial services holding company, where he skillfully managed the sale of multiple broker-dealer and investment adviser subsidiaries, ensuring compliance and strategic alignment throughout the process. His role also involved critical oversight during the due diligence phase for various acquisitions and offerings conducted by the broker-dealer subsidiaries, alongside managing substantial regulatory, litigation, and arbitration matters. A graduate of The George Washington University with a B.A. in German and Economics, and a Juris Doctor from DePaul University College of Law, Mr. Amin combines his academic foundation with practical experience to deliver strategic legal solutions that empower his clients to thrive in a competitive financial landscape.