Regulatory Exams
Preparing for and responding to regulatory exams, either by the SEC, state or FINRA, can be overwhelming. Jacko Law Group, PC (JLG) has extensive experience in regulatory examinations and can assist you with:
- Preparation and training of personnel
- Review of books and records prior to submission
- Guidance on what to do during the on-site examination
- Responding to regulatory deficiency letters
- And more
Responding to Regulatory Inquiries
Response to inquiries from the SEC, FINRA or other regulatory bodies must be prompt, carefully considered and accurate in addressing each issue or deficiency, particularly if allegations of a securities law violation are involved.
At JLG, we understand our clients and know their businesses which enables us to provide prompt, effective responses to regulatory inquiries and allegations at both the state and federal levels.
As a Firm, we believe the most essential aspect of being prepared to serve our clients is to take the time to understand who our clients are, what they currently offer and what makes them a success. Having extensive experience in responding to SEC, FINRA and other official inquiries, JLG is prepared to respond to any number of issues or claims, including:
- Breach of fiduciary duty
- Negligent misrepresentation
- Account churning
- Unauthorized trading
- Making unsuitable investments
- Insider trading
- Failure to adequately supervise registered representatives
- Improper or inadequate due diligence
- Improper registration
- Unregistered securities
- Market manipulation
- Failure to provide adequate disclosures or properly advise clients of investment risks
- Failure to diversify and over-concentration of securities
- Improper sales practices
Jacko Law Group, PC provides time-sensitive, effective regulatory responses on behalf of broker-dealers, investment advisers, hedge fund managers and other financial and securities industry clients throughout the United States.
For more information or to speak with a securities attorney — contact our San Diego law office directly at 619-298-2880 or contact us online.