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Professionals

The Jacko Law Group Team

Michelle L. Jacko, Esq., Managing Partner & CEO

Michelle L. Jacko

PRACTICE AREAS

  • Investment Adviser, Broker-Dealer, Hedge Fund and Private Fund Regulatory Counsel 
  • Broker-Dealer, Investment Adviser and Private Fund formations, including registration and filings 
  • Contracts and disclosure documents, including Investment Management Agreements, Sub-advisory Agreements, Investment Policy Statements, Solicitor’s Agreements, Forms ADV and BD
  • Creation of Offering Memorandum and Prospectuses
  • Compliance Program Reviews, Mock SEC Examinations and Internal Control Evaluations
  • Legal and Compliance Education and Training

Michelle L. Jacko, Esq. is the Managing Partner and CEO of Jacko Law Group, PC (JLG), a securities law firm which offers securities and corporate legal services to broker-dealers, investment advisers, hedge/private funds and financial professionals.  In addition, Ms. Jacko is the Founder and CEO of Core Compliance & Legal Services, Inc., a compliance consultation firm.

Ms. Jacko specializes in investment advisory and broker-dealer firm formation, hedge and private fund development, mergers and acquisitions, transition risks and investment counsel on compliance and securities law. Her practice is focused on the areas of corporate and compliance risk management, contracts, policies and procedures, testing of compliance programs (including evaluation of internal controls and supervision), performance advertising, soft dollar arrangements, best execution, separation agreements and much more. In 2006, Ms. Jacko was named as a Top 20 Rising Star for “Who’s Who” in Upcoming Compliance Professionals by Compliance Reporter magazine.

Previously, Ms. Jacko served as Of Counsel at Shustak & Partners, PC. Prior to that, she was Vice President of Compliance and Branch Manager of the Home Office Supervision team at LPL Financial Services, Corporation (Linsco/Private Ledger). Ms. Jacko also served as Legal Counsel of Investments and Chief Compliance Officer at First American Trust, FSB and held the position of Compliance Manager at Nicholas-Applegate Capital Management. In addition, Ms. Jacko was with PIM Financial Services, Inc., and Speiser, Krause, Madole & Mendelsohn, Jackson.

Ms. Jacko received her J.D. from St. Mary’s University School of Law and B.A., International Relations, from the University of San Diego.  She is admitted to the State Bar of California and United States District Court, Southern District of California. Michelle is a board member for the National Society of Compliance Professionals (NSCP) and serves on its Regulatory Affairs, Meetings and Membership Committees.

Michelle frequently authors industry articles and presents at conferences throughout the nation. She is Chairperson of the Regulatory Affairs Committee and serves as Speakers Bureau Chair for the Southern California Compliance Group and is involved in the American Bar Association (Business Law Section), State Bar of California and San Diego County Bar Association where she serves on its Business Law Section Advisory Board.

EDUCATION
J.D., St. Mary’s University School of Law
B.A. International Relations, University of San Diego
Degree awarded Cum Laude

BAR AND COURT ADMISSIONS
The State Bar of California
United States District Court, Southern District of California

PROFESSIONAL AFFILIATIONS
Member, American Bar Association
Member, the State Bar of California
Business Law Section Advisory Board Member, San Diego County Bar Association
Board Member, National Society of Compliance Professionals
Regulatory Affairs Committee Chairperson and Speaker’s Bureau Chair, Southern California Compliance Group
Member, FINRA Board of Arbitrators



Wendy Coticchia, Esq. - Of Counsel

Wendy CoticchiaPRACTICE AREAS

  • Broker-Dealer and Investment Adviser regulatory counsel 
  • Broker-Dealer and Private Fund formation, including registration and filings 
  • Contracts and disclosure documents, including selling agreements, finder’s agreements, new account forms, solicitor arrangements and Form BD
  • Creation of Private Fund offering memorandum and prospectuses
  • Expungement
  • Broker-Dealer Annual Compliance program reviews and mock FINRA examinations
  • Legal and compliance education and training

Wendy J. Coticchia, Esq. serves as Of Counsel at Jacko Law Group, PC (JLG), which offers securities and corporate legal services to broker-dealers, investment advisers, hedge funds and financial professionals.  She specializes in all areas of broker-dealer regulatory matters, dual registrant legal issues and corporate law.

Ms. Coticchia is an experienced attorney and strategic advisor and has advised two Fortune 500 companies over the course of her career. She served as Legal Counsel for Charles Schwab & Co., Inc. for nine (9) years where her responsibilities included leading, drafting and negotiating major and complex transactions, regulatory interpretation, strategic advice, and operational risk analysis. While at Schwab, Wendy spent three (3) years serving as Consultant to the Office of the CEO where she advised Schwab’s executive management team on conflicts of interest.  Prior to that, Wendy held a position as Senior Corporate Counsel at Nationwide Financial Services in Columbus, Ohio, where she led a team of attorneys who advised the company’s deferred compensation subsidiary.

Wendy’s areas of expertise include contract drafting and negotiation; strategic advice, risk assessment, and regulatory compliance; development of internal policies and procedures; assessment of operational issues, incentive compensation, and conflicts of interest; e-commerce, disclosures, and records retention.

Ms. Coticchia received her J.D. from the University of Pittsburgh, School of Law and received a B.A. in Liberal Arts from Pennsylvania State University. She is admitted to the State Bar of California, the State Bar of Ohio, and the State Bar of Pennsylvania.

EDUCATION
J.D., University of Pittsburgh School of Law
B.A. Liberal Arts, Pennsylvania State University

BAR ADMISSIONS
The State Bar of California
The State Bar of Ohio
The State Bar of Pennsylvania

PROFESSIONAL AFFILIATIONS
Member, the State Bar of California
Member, the State Bar of Ohio
Member, the State Bar of Pennsylvania
Member, the Association of Corporate Counsel



Zachary Rosenberg, Esq., Associate Attorney

Zachary RosenbergPRACTICE AREAS

  • Business Entity Formations and related operating documents
  • Drafting of contracts and solicitor arrangements
  • Preparation of policies and procedures manuals
  • Investment company, private fund and investment advisory regulatory compliance matters
  • Legal research and support

Mr. Rosenberg provides general research and legal project assistance to JLG and aids in the preparation of legal memorandum and other publications. With a particular focus on investment advisor and private fund compliance matters, Mr. Rosenberg also provides assistance on drafting related documents for Compliance programs. He assists on all matters of business entity formation including state filings, document preparation, and general corporate governance matters as well as drafts various corporate agreements. Mr. Rosenberg has experience in formation of hedge funds and other private funds as well as all matters of investment adviser registration and compliance. 

Mr. Rosenberg is admitted to the State Bar of California, and prior to joining JLG, he served as a judicial extern to a U.S. Magistrate Judge, where he reviewed and evaluated federal petitions for writ of habeas corpus. He drafted reports and recommendations for the judge based on extensive research of U.S. Supreme Court precedent and other relevant legal standards.

EDUCATION
J.D., Magna Cum Laude, California Western School of Law
B.A., History and Political Science, University of Arizona

BAR AND COURT ADMISSIONS
The State Bar of California
United States District Court, Southern District of California

PROFESSIONAL AFFILIATIONS
Member, San Diego County Bar Association
Executive Editor, California Western Law Review/International Law Journal



Tina Mitchell, Sr. Paralegal

Tina MitchellPRACTICE AREAS

  • Corporate Formations (Corporations, LLC’s, LP’s, etc.) and related operating documents
  • SEC registered investment adviser and mutual fund regulatory issues
  • Preparation, review and filing of various documents, including FORM ADV
  • Preparation of contracts and independent contractor arrangements
  • Preparation of compliance program documents (policy and procedure manual, internal control checklists, etc.)

Ms. Mitchell specializes in corporate formations, providing support in all related associated filings and document preparation for JLG. She has extensive experience in helping firms prepare contracts, conducting risk assessments and authoring written policies and procedures.  Ms. Mitchell also is responsible for coordinating preparation of 15c materials for fund board review and reviewing contractual relationships with investment managers, sub-advisors and others.

Prior to JLG, Ms. Mitchell was the Senior Vice President and Chief Compliance Officer for Engemann Asset Management (“Engemann”), a federally registered investment adviser owned by the Phoenix Companies that managed assets for registered investment companies, wrap programs and high net worth clients.  During most of her 14 year employment at Engemann, Ms. Mitchell was responsible for the firm’s continued compliance with federal and state securities laws. Ms. Mitchell also served as the Secretary of the Phoenix Engemann Funds (part of the Phoenix Family of Funds) and compliance liaison between Engemann and the Phoenix Engemann Funds Board of Trustees for over 8 years.  

Ms. Mitchell periodically authors industry articles and presents at conferences in the U.S.  Ms. Mitchell has worked in the securities industry for over 21 years and in addition to being a certified paralegal, is also a FINRA Arbitrator.

EDUCATION
Pasadena City College, Paralegal Certification

PROFESSIONAL AFFILIATIONS
Member, National Society of Compliance Professionals
Member, FINRA Board of Arbitrators
Membership Recruiting Committee, Chairman Southern California Compliance Group



Daneen Wolf, Corporate Research Support

Daneen WolfPRACTICE AREAS

  • Legal research and support
  • Business Entity Formations and
  • Drafting of contracts and solicitor arrangements
  • Preparation of policies and procedures manuals
  • Investment company, private fund and investment advisory regulatory compliance matters

Ms. Wolf serves as Corporate Research Support for JLG with particular focus on matters relating to broker-dealers, investment advisers and private funds.  Ms. Wolf assists with corporate formations, and drafting of various agreements with a specialty in compliance related matters.

Prior to joining Jacko Law Group, PC, Ms. Wolf was the Senior Executive Administrator for Equastone LLC, and a Compliance Analyst for BourneBridge Securities, LLC, the broker-dealer owned by Equastone, a private equity investment firm specializing in opportunistic and value-added real estate.  Her responsibilities included, among other duties, maintaining and improving systems and processes, SEC filings, and managing the books and records for all Equastone related entities.

Ms. Wolf spent part of her career focusing on corporate brand marketing for SC Design Inc., and successfully implemented strategic marketing methods for their five regional offices. In addition, she had the privilege of working for Anthony Robbins the noted motivational speaker, as well as the San Diego Padres Baseball Club where she was instrumental in the ballpark campaign initiative for the San Diego downtown ballpark.

EDUCATION
University California San Diego                                                       
San Diego Mesa College



Christine Marcus, Executive Assistant & Office Manager

Christine Marcus

PRACTICE AREAS

  • Executive Assistant to the Managing Partner & CEO
  • Office Management and Operations
  • Data Systems Integration and Surveillance
  • Coordination of Project Calendars, Office Schedules and Internal Controls
  • Client Services and Marketing support

Ms. Marcus serves as Executive Assistant to the Managing Partner & CEO and is Office Manager for JLG.  Her responsibilities, among other duties, focus on support in all aspects to the CEO and involve assignments of a confidential and complex nature, requiring considerable project management skills, discretion, collaboration, judgment and attention to detail.

Prior to joining JLG, Ms. Marcus worked as an Executive Assistant to the CEO of a mid-size information technology company. She provided input for meeting themes and events based on organization priorities and objectives and created meeting materials as required. Ms. Marcus also was instrumental in leading the firm’s Human Resources and Administrative efforts, including oversight of all administrative staff to ensure consistency, coordination, and communication between groups.

EDUCATION
B.A., English Literature, University Virginia

NOTE: Labels in bold are required.

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