John C. Molloy, Jr.
Of Counsel
Boston
Biography
John C. Molloy, Jr. specializes in securities law, with particular focus on investment funds, investment advisers, and broker-dealers. Mr. Molloy is experienced in advising investment funds and their related management companies. Such experience includes all aspects of the investment management business, including fund formation, dealing with state and federal regulators as they relate to investment advisers and broker-dealers, assisting with the securities sale process, and developing compliance procedures and functions. Prior to joining Gonzalez Saggio & Harlan, Mr. Molloy was a Partner at Yoss LLP. He has also gained experience while practicing at Edwards Angell Palmer & Dodge, Skadden Arps, and Goodwin Procter.
At prior firms, Mr. Molloy was heavily involved in several “first of its kind” deals, including the first closed-end fund IPO sold to “qualified clients”, as well as a unique securities company sold to several thousand-client employees. With recent regulatory initiatives under 1940 Act and Advisers Act, Mr. Molloy has had significant client involvement where he has drafted several 1940 Act exemptive applications and no-action requests, including significant SEC negotiations; ongoing client counseling with respect to other matters under the 1940 Act, Advisers Act, Securities Act, Exchange Act and Patriot Act and NASD and CFTC regulations.
Mr. Molloy has represented 17 start-up advisory firms in forming and offering 27 hedge funds/fund of funds; represented leading hedge fund advisory firms, Atticus Capital, Arrowstreet Capital, Millennium Management LLC and Otter Creek, on matters pertaining to their advisory businesses; led numerous closed-end fund IPOs for Citigroup and Raymond James; and provided fund counsel to Oppenheimer & Co., Gabelli and U.S. Trust Private Equity Group closed-end fund IPOs. Mr. Molloy has also provided diligence/regulatory counsel to managing underwriters effecting IPOs of investment advisory firms, including Merrill Lynch, Citigroup and Goldman Sachs; counsel to Peter Kiewit Sons, in connection with the structuring, IPO, and SEC approval of an employees’ securities company.
Mr. Molloy earned his J.D. at Boston University School of Law and a B.A. at Tufts University. Mr. Molloy served in the United States Marine Corps on Active Duty from 1986 to 1991 and in the Reserves from 1991 to 1997. He is admitted to practice in Massachusetts.
Education & Bar Admissions
Education
- Boston University School of Law, J.D.
- Tufts University, B.A.
Bar Admissions
- Massachusetts
