The Jacko Law Group Team

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

PRACTICE AREAS

• Investment Adviser, Broker-Dealer, Hedge Fund and Private Fund Regulatory Counsel
• Broker-Dealer, Investment Adviser and Private Fund formations, Filings and Regulatory Interface
• Contracts, Registration and Disclosure documents, including Client Agreements, Sub-advisory contracts, Investment Policy Statements, Solicitor Agreements, Forms ADV, PF and BD
• Mergers and Acquisitions and General Corporate Counsel
• Compliance Program Reviews, Mock SEC Examinations and Internal Control Evaluations Legal and Regulatory Compliance Education and Training

Michelle L. Jacko, Esq. is the Managing Partner and CEO of Jacko Law Group, PC, 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 regulatory 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 past two-term board member for the National Society of Compliance Professionals (NSCP), holds NSCP’s Certified Securities Compliance Professional (CSCP) designation, and is an active member of the Membership and CSCP Marketing Committees.

Michelle frequently authors industry articles and presents at conferences throughout the nation. She is Vice President and co-founder of 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 as Vice Chair of its Business Law Section Advisory Board. She also is a Member of the FINRA Board of Arbitrators.

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

PRACTICE 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
• Broker-Dealer Annual Compliance program reviews and mock FINRA examinations
• Expungement
• 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

Sarah Weber, Esq., Associate Attorney

PRACTICE AREAS

• Mergers and Acquisitions
• Investment Company, Investment Advisory, and Broker-Dealer Regulatory Counsel
• Private Fund Formations
• Contract Drafting and Negotiations
• General Business Counsel Support

Ms. Weber provides legal counsel to investment companies, investment advisers, broker-dealers, and other corporate clients. With a litigation background, Ms. Weber is instrumental in assisting JLG clients with complex business transactions and addressing liability considerations with our corporate clientele. Ms. Weber’s practice focuses on new business ventures, including mergers and acquisitions, general counsel support and all aspects of formation, registration, and on-going operations for investment companies, investment advisers, brokers-dealers and private funds.

Prior to joining JLG, Ms. Weber’s practice centered on the representation of consumers in securities, antitrust and other fraud related class actions. She has extensive experience in all phases of complex litigation, including discovery, motion practice, and appeals.

Ms. Weber graduated cum laude from the University of San Diego School of Law in 2005. There, she was honored as the Outstanding Contributor to the California Regulatory Law Reporter for her reporting on the activities of the California Board of Accountancy and the California Department of Corporations. During law school Ms. Weber also served as an extern to Presiding Justice Judith McConnell at the California Court of Appeal, 4th Appellate District Division One. She received her Bachelor of Science in Business Administration with an emphasis in Finance from Northern Arizona University in 2000. Prior to obtaining her law degree, Ms. Weber was a Registered Securities Representative and Investment Adviser Representative at Merrill Lynch and TD Waterhouse.

Ms. Weber is a member of the San Diego County Bar Association and the Lawyer’s Club of San Diego. She also is actively involved in the organization of the Women’s Resource Fair, an annual event sponsored by the Lawyers Club of San Diego providing no cost legal, medical and other social services to hundreds of local low-income women and children.

EDUCATION
J.D., Cum Laude, University of San Diego School of Law
B.S. Business Administration with Emphasis in Finance, Northern Arizona School of Law

BAR AND COURT ADMISSIONS
The State Bar of California
United States District Court, Southern, Central and Northern Districts of California
United States Court of Appeals for Ninth Circuit

Zachary Rosenberg, Esq., Associate Attorney

PRACTICE AREAS

• Business Entity Formations and Related Operating Documents
• Private Fund, Investment Advisory, and Broker-Dealer Regulatory Compliance Matters
• Preparation of Policies and Procedures Manuals, Forms ADV and Advisory Contracts
• Compliance Program Development and Analysis
• Compliance Research Writing and Support

Mr. Rosenberg provides legal counsel to investment advisers, hedge funds, broker-dealers, and other financial institutions. With a particular focus on investment management and private funds, Mr. Rosenberg advises clients on all aspects of formation, registration, and ongoing operations. He regularly counsels clients regarding the legal issues surrounding the formation and operation of various types of private funds, including hedge funds, private equity/venture capital funds, and real estate funds. He oversees all matters of business entity formation including state filings, document preparation, and general corporate governance matters. Mr. Rosenberg has experience in all matters of investment adviser registration and compliance, including advising clients on the implications of the Dodd-Frank Wall Street Reform and Consumer Protection Act, including the registration, reporting, and recordkeeping requirements applicable to private fund advisers.

Prior to joining JLG, Mr. Rosenberg served as a judicial extern to a U.S. Magistrate Judge, where he drafted reports and recommendations evaluating federal petitions for writs of habeas corpus based on extensive research of U.S. Supreme Court precedent and other relevant legal standards. Mr. Rosenberg is a graduate of California Western School of Law where he served as Executive Editor of the “Law Review/International Law Journal” and focused his academics on securities and corporate law. He is admitted to the State Bar of California and the Bar of the Commonwealth of Massachusetts.

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
Bar of the Commonwealth of Massachusetts
United States District Court, Southern District of California

PROFESSIONAL AFFILIATIONS
Member, American Bar Association Business Law Section
Member, Boston Bar Association

Ravi Navamani, Esq., Associate Attorney

PRACTICE AREAS

• Business and Commercial Transactions
• Corporate, Partnership & Limited Liability Company Formation and Maintenance
• Private Fund and Investment Advisory Regulatory Counsel
• Contracts, Offering Memorandums and Client Disclosure Documents
• Regulatory Examinations

Mr. Navamani’s practice focuses on entity creation and maintenance, securities law counsel and corporate finance considerations. He is responsible for providing private fund and regulating counsel to new private funds and investment advisers.

Prior to joining JLG, Mr. Navamani was an Associate at Cramer Law, APC, handling the creation of special purpose entities, private placements, financing and real estate transactions. While in law school, Mr. Navamani served as a judicial extern for Judge Daniel Preciado of the Equal Employment Opportunity Commission, was Chief Comments Editor for the Asian Pacific American Legal Journal and participated in the Mock Trial program. Mr. Navamani was an active member of the Journal of International Law and Foreign Affairs, the South Asian Law Student Association and the Asian Pacific Islander Law Student Association. He was also an intern for Neighborhood Legal Services pursuing domestic violence prevention and protection, breach of contract lawsuits and tenant/landlord rights.

Prior to attending law school, Mr. Navamani served as an Intern for Morgan Stanley and as a legal assistant for Olmstead, Cramer & Pizzuto, A L.C. He graduated from the University of California, San Diego in 2005 with a distinction in econometrics, accounting and operations research.

EDUCATION
J.D., UCLA School of Law, 2009
B.S. Management Science, University of California, San Diego, 2005

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

PROFESSIONAL AFFILIATIONS
California State Bar (Business Section)
South Asian Bar Association
San Diego County Bar Association
Los Angeles County Bar Association

Kris Gruben, Sr. Legal Assistant

PRACTICE AREAS

• Investment Company and Investment Adviser Regulatory matters
• Broker-Dealer Registration and Compliance
• Mutual Fund Board and Regulatory Reporting
• FINRA and NFA Licensing and Registration

With more than 27 years of experience in the financial, securities, and compliance industries, Ms. Gruben provides JLG’s attorneys with assistance on complex issues and research involving investment advisers, broker-dealers and investment companies. In addition, Ms. Gruben provides support on corporate compliance issues and risk management practices involving broker-dealers and financial institutions. Ms. Gruben has extensive experience in performance advertising and marketing reviews and assists with authoring Forms ADV, Codes of Ethics and GIPs policies and procedures manuals.

Previous to working with JLG, Ms. Gruben served as Vice President, Compliance Officer, for Pacific Investment Management Company (PIMCO), a federally registered investment adviser. Prior to that, Ms. Gruben served as Chief Compliance Officer at Thornburg Investment Management; Financial Advisor at Waddell & Reed; and Compliance Officer at Nicholas-Applegate.

Ms. Gruben has worked in the securities industry for over 27 years and frequently presents on a variety of compliance topics at client firms and industry conferences.

EDUCATION
Attended San Diego State University
FINRA Series 7, 8, 24, 65 and 73 licenses

PROFESSIONAL AFFILIATIONS
Member, National Society of Compliance Professionals
Member, Southern California Compliance Group

Tina Mitchell, Sr. Paralegal

PRACTICE AREAS

• Investment Adviser registration (both state and federal)
• SEC and state 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 investment adviser registrations, providing support in all related associated filings and document preparation for JLG. She has extensive experience in helping firms prepare contracts, conducting risk assessments, annual reviews and authoring written policies and procedures. Ms. Mitchell also assists clients with coordinating preparation of 15c materials for fund board review and reviewing contractual relationships with investment managers, sub-advisors and others.

Prior to joining 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 25 years and in addition to being a certified paralegal, is also a FINRA Arbitrator.

EDUCATION
Pasadena City College, Paralegal Certification

PROFESSIONAL AFFILIATIONS
Member, FINRA Board of Arbitrators
Member, Southern California Compliance Group

Kristen Thompson, Paralegal

PRACTICE AREAS

• Legal research and support
• Business entity formation
• Drafting, reviewing and researching of contracts
• Preparation, review and filing of various documents, including NMAs, Form ADV, Form D and individual state filings
• Investment company, private fund, investment advisory and broker-dealer regulatory compliance matters

Ms. Thompson serves as a Paralegal for JLG with particular focus on matters relating to private funds, investment advisers, broker-dealers and private equity firms. Ms. Thompson assists with financial firm registrations, contracts and non-disclosure and sales agreements, corporate formations (corporations, LLC’s, LP’s, etc.) and assisting with corporate research efforts. Ms. Thompson has extensive experience in assisting with the preparation and review of corporate entity documents, contracts, and regulatory filings for individuals, funds and entities.

Prior to joining JLG, Ms. Thompson worked as a Senior Corporate Paralegal for a wholly owned subsidiary of Credit Suisse (USA) in Salt Lake City, Utah. Her responsibilities included, among other duties, assisting with all aspects of complex regulatory filings, identifying and assessing regulatory risks and recommending remedies, maintaining all necessary licensees with the federal government and applicable states, drafting various business contracts and securitization agreements, assisting with all corporate litigation matters, and management of the contract administration process for the company and its’ 8 subsidiaries. Ms. Thompson maintains exceptional client relations and management skills having assisted numerous clients in various fields of the law as a paralegal for the past 11 years. Other prior experience includes working as a paralegal at a trademark licensing firm where she was responsible for drafting and ensuring execution of all trademark license agreements and managing infringement allegations and breach of contract matters.

EDUCATION
BS, Legal Studies (Pre-Law), Kaplan University
AS, Paralegal Studies, Kaplan University

Christine Marcus, Executive Assistant & Project Manager

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 Project 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