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Stradley Ronon Attorneys Present at Philadelphia Bar Association's Securities Regulation Committee Meeting

March 22, 2017
Firm News

PHILADELPHIA – Stradley Ronon attorneys William E. Mahoney Jr., Paula D. Shaffner, John M. Baker and Nicole Simon presented at the Philadelphia Bar Association’s Securities Regulation Committee Meeting, hosted by the firm. Mahoney and Shaffner’s presentation, “After the Election: What to Expect from the New Administration in the Securities Field,” discussed the possible impact of adding Judge Neil Gorsuch to the Supreme Court. Baker spoke on the latest at the Securities and Exchange Commission, and Simon discussed the current status of the Department of Labor’s Fiduciary Rule.

Mahoney is co-chair of Stradley Ronon’s Securities Litigation & Enforcement practice group and an accomplished trial attorney whose practice is focused on complex business litigation, particularly within the financial services industry. For more than 20 years, he has represented financial institutions such as brokerage firms, investment advisers and banks in all manner of disputes, including securities litigation and arbitration, and regulatory investigations and enforcement proceedings.

Shaffner also co-chairs the firm’s Securities Litigation & Enforcement practice group, represents individuals and companies in securities litigation, and defends clients in regulatory matters before the U.S. SEC, the Financial Industry Regulatory Agency and various exchanges and state regulators. She also represents clients in litigation filed in court or arbitration and conducts internal investigations and provides compliance counseling.   

Baker focuses his practice on complex securities law and banking issues for mutual funds and their boards of directors/trustees, investment advisers, broker/dealers, banks, hedge funds and other participants in the financial markets. He is known throughout the mutual fund industry as the creator and moderator of FundLaw, a leading online discussion group that reports developments and changes in securities law, with an emphasis on legal issues impacting the investment management industry. 

Simon assists in the representation of clients in the asset management industry, including commodity pool operators, commodity trading advisors, registered investment companies, private funds and investment advisers. She frequently counsels on the applicability and interpretation of federal securities and commodities laws.

About Stradley Ronon
Counseling clients since 1926, Stradley Ronon has helped private and public companies – from small businesses to Fortune 500 corporations – achieve their goals by providing pragmatic, value-driven legal counsel. With offices in eight strategic locations, our responsive team of more than 200 attorneys seamlessly addresses the full spectrum of our clients’ needs, ranging from sophisticated corporate transactions to complex commercial litigation.

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