Professionals: The Jacko Law Group Team

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

Michelle Jacko

Practice Areas

  • Investment adviser, broker-dealer, hedge and private fund regulatory counsel
  • Contracts, formations, registration and client disclosure documents (including Forms ADV, PF and B), solicitor and finder arrangements and breakaway/transitions business
  • Mergers and acquisitions
  • Business succession and transition planning
  • 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, which offers corporate and securities legal services to broker-dealers, investment advisers, investment companies, 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.

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 regularly presents at conferences throughout the nation, and is a frequent contributor to various industry journals. In 2013, Ms. Jacko was appointed to the Editorial Advisory Board for the Wolters Kluwer publication Practical Compliance and Risk Management for the Securities Industry. She is Co-Founder of the Southern California Compliance Group and is involved in the American Bar Association (Business Law Section), State Bar of California (Corporations Committee, where she serves as Vice-Chair of Education) and San Diego County Bar Association. She also is a FINRA Arbitrator. Ms. Jacko was named as a Top 20 Rising Star for "Who's Who" in Upcoming Compliance Professionals by Compliance Reporter magazine in 2006. In 2014, Ms. Jacko was named as a finalist for San Diego Magazine's 2014 Woman of the Year Award. She was also recognized as a finalist for San Diego Business Journal's 2014 Women Who Mean Business Awards.

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 and presenter.


J.D., Cum Laude, St. Mary's University School of Law
B.A. International Relations, University of San Diego

Bar And Court Admissions

The State Bar of California
United States District Court, Southern District of California

Professional Affiliations

American Bar Association
State Bar of California, Business Law Section, Corporations Committee Vice-Chair of Education
San Diego County Bar Association, Business & Corporate Law Section (Former Advisory Board Co-Chair and Member)
National Society of Compliance Professionals (Former Board Member)
Certified Securities Compliance Specialist (sponsored by NSCP)
Wolters Kluwer Practical Compliance and Risk Management for the Securities Industry Publication, Editorial Advisory Board Member
Southern California Compliance Group, Co-Founder and Member
Member, National Association of Women Lawyers
FINRA Arbitrator

Robert Conca, Esq., Partner

Robert Conca

Practice Areas

  • Federal and state regulatory examinations
  • Mergers & acquisitions and corporate transactions
  • General counsel services
  • Private fund counsel and compliance
  • Investment adviser and broker-dealer regulatory counsel
  • Board of directors and corporate governance matters
  • Small and mid-size business issues

Robert Conca has over 18 years of experience advising businesses and financial professionals. He has acted both in legal counsel and senior executive capacities for companies spanning all stages of development. From start-ups to established entities, his diverse experience provides a unique background allowing him to understand a client's practical business issues when delivering legal advice.

Mr. Conca has extensive experience counseling corporate clients, including SEC and state registered investment advisers and private investment funds, regarding regulatory compliance, regulatory examinations, fund management issues, investment transactions, corporate governance and Board of Directors matters, human resources, and legal and operational strategy.

Previously, Mr. Conca served as Chief Legal Officer, Chief Compliance Officer and Corporate Secretary of an international private equity family of companies with approximately $17 billion under management. He managed legal and compliance functions and strategy for four separately SEC-registered investment advisers, including a fund registered under the Investment Company Act of 1940, oversaw corporate spin-offs and advised on investment transactions totaling over $3.0 billion in the aggregate. Mr. Conca counseled all levels of Executive Management and the Board of Directors on strategy, corporate, regulatory, government and public relations issues, as well as routine corporate legal matters. In addition, Mr. Conca established and coordinated expansion of legal and operations processes for affiliate offices in Asia and Europe.

Prior to that, Mr. Conca was Legal Director and Chief Operating Officer at a start-up financial services company located in San Francisco. There, he oversaw legal operations, regulatory compliance and supervised a cross-functional team developing a novel financial services product designed to deliver a liquidity solution to open end and closed end mutual funds.

Mr. Conca began his legal career as an attorney at Buchalter, Nemer, Fields & Younger in Los Angeles where he handled corporate litigation on behalf of financial institution clients, making over 300 court appearances in three years.


J.D., Loyola Law School, Los Angeles
B.A., Psychology, University of California, Berkeley

Bar And Court Admissions

The State Bar of California

Professional Affiliations

Southern California Compliance Group, president 2014-2016
Member, San Diego County Bar Association

Robert R. Boeche II, Esq., Sr. Associate

Robert Boeche

Practice Areas

  • Formation and regulatory compliance matters involving investment advisers and private funds
  • Corporate formations (corporations, LLCs, LPs, etc.) and related operating documents
  • Drafting of policies and procedures manual, Form ADV, advisory contracts, solicitor agreements, purchase agreements and client disclosure documents
  • General corporate counsel services
  • Regulatory filings

Mr. Boeche provides strategic legal counsel to investment advisers, broker-dealers, private funds and other financial professionals. Mr. Boeche advises clients on all aspects of formation, registration, and ongoing operations. He regularly counsels clients regarding the legal issues surrounding all matters of business entity formation, including state filings, document preparation, and general corporate governance matters as well as succession planning. Mr. Boeche is responsible for drafting contracts, sales agreements, and client disclosure documents, as well as reviewing/preparing regulatory responses. He has extensive experience in all matters of investment adviser registration and compliance, including advising clients on solicitation and marketing activities.

Mr. Boeche regularly presents at conferences throughout the nation, and is a frequent contributor to various industry journals such as Schwab, Wolters Kluwer and others. He is involved in the State Bar of California (Corporations Committee) and the San Diego County Bar Association (where he serves on the Business and Corporate Law's Advisory Board). Mr. Boeche also was named as one of San Diego Transcript's 2014 Top Attorneys for corporate transactional law in 2014.

Mr. Boeche received his J.D. from the University of San Diego School of Law, where he was involved as a member of the school's "National Mock Trial Team" and was the recipient of such awards as "Best Oral Advocate" and "Cali Award." Prior to his joining JLG, Mr. Boeche worked at the law firm of Wilson, Sonsini, Goodrich and Rosati in their corporate division, where he focused on transactional law related to corporate finance, corporate governance, debt and

equity financing, and mergers and acquisitions. Mr. Boeche is admitted to The State Bar of California.


J.D., University of San Diego School of Law
B.A., Economics, Pomona College

Bar And Court Admissions

The State Bar of California

Professional Affiliations

American Bar Association
Advisory Board Member, San Diego County Bar Association

David M. Sobel, FINRA Specialist

David Sobel

Practice Areas

  • Broker-Dealer Examinations
  • Broker-Dealer Compliance Programs
  • Broker-Dealer Risk Management
  • Broker-Dealer Expert Witness Services

David M. Sobel, Esq. serves as JLG's FINRA Specialist and works closely with our counsel during FINRA regulatory examinations and investigations. Mr. Sobel spent the last 10 years as EVP, General Counsel and Chief Compliance Officer of Abel/Noser Corp., a FINRA / NYSE member broker/dealer. He was previously a partner at The Goldstein Law Group, P.C. where he concentrated in the areas of broker-dealer compliance/regulation, securities litigation, including arbitration and mediation, and disciplinary/enforcement matters at the SEC, NYSE, AMEX and FINRA. Mr. Sobel was a Floor Member of the New York Stock Exchange from 1982 through 1991 as a floor broker for both H.A. Brandt & Co. and First Options of Chicago, and as President of his own NYSE member firm, Ampro Securities, Inc. After leaving the NYSE floor, he was a Senior Equity Trader/Market Maker for Trimark Securities.

Mr. Sobel has an MS from Brooklyn College and a JD from Pace Law School where he was an Editor of the International Law Review. He has been a FINRA Arbitrator since 1998, was 2013 Chairman of the FINRA Small Firm Advisory Board, a two term District 10 Committee member, Former Board Member of the National Society of Compliance Professionals (NSCP) and Past-Chairman of the National Association of Independent Broker-Dealers (NAIBD).

Mr. Sobel has been quoted in and/or interviewed by: Compliance Reporter, Dow Jones Newswire, Complinet, Traders Magazine, Op/Risk and Compliance Magazine, Institutional Investor News, BD Week and is a frequent speaker at securities conferences for FINRA, NSCP, NRS, ACA, NAIBD, Strategy Institute and FMW. Recent Conference topics include: Managing Risk at Small BD, Internal Audits, Supervisory Responsibilities, ERISA, Soft Dollars, Conflicts of Interest, Social Networking and Forensic Compliance. He also is author of the chapter, "Your Relationship with FINRA" featured in the 2015 book Modern Compliance Best Practices for Securities & Finance.


J.D., Pace University School of Law, New York
M.S., Broadcasting, City University of New York - Brooklyn College, New York
B.A., Theater, LIU Brooklyn, New York

Bar And Court Admissions

Supreme Court of New York
Supreme Court of Connecticut
Southern District of New York
Eastern District of New York
2nd Circuit Court of Appeals

Professional Affiliations

Member, New York County Lawyers Association, Securities and Exchange Committee
Member, New York State Bar Association, Alternate Dispute Resolution Section
Member, American Bar Association, Securities Litigation Section
FINRA Arbitrator
Series 7, 14 & 24

Tina Mitchell, Sr. Paralegal

Tina Mitchell

Practice Areas

  • Investment adviser registration (both state and federal)
  • Preparation and and filing of various regulatory documents, including Form ADV, Form PF, Blue Sky and Section 13 Filings
  • Preparation of compliance program documents, including policy and procedures manuals, codes of ethics and business continuity plans
  • Assists with mock regulatory examinations and annual reviews for JLG clients

Ms. Mitchell has worked in the securities industry for 30 years. She has extensive experience in investment adviser registration and general compliance matters and works with our counsel to assist advisory firms with applications for registration. Ms. Mitchell also supports counsel with preparation and filing of regulatory documents, such as Form ADV, Section 13 filings, blue sky and other state notice filings. Ms. Mitchell assists with the creation of and updates to our clients' compliance policies and procedures manuals, cybersecurity and business continuity plans, and other internal control documents. She also assists with advertising and marketing reviews, risk assessments, mock regulatory audits and regulatory research. Ms. Mitchell also supports counsel with preparation and filings for registered investment company clientele and assists with 15c reporting process.

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. Engemann 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 has served as a FINRA arbitrator for the past 20 years and served as President of the Southern California Compliance Group for three years and is also a member of the California 40' Act Group. Ms. Mitchell frequently authors articles and periodically presents on a variety of compliance topics both at client firms and at industry conferences.


Pasadena City College, Paralegal Certification

Professional Affiliations

FINRA Arbitrator
Member, California 40' Act Group

Kurt Nuñez, Legal Assistant

Kurt Nunez

Practice Areas

  • Investment company and investment adviser regulatory research
  • Broker-dealer registrations and applications
  • Mutual fund board and regulatory reporting
  • Support for SEC, FINRA and state regulatory matters

With more than 16 years of experience in the financial services industry, Mr. Nuñez provides JLG attorneys with research and assistance on intricate regulatory issues involving investment advisers, investment companies and broker-dealers. In addition, Mr. Nuñez provides support on corporate compliance issues and risk management practices involving financial institutions. Mr. Nuñez has extensive experience with broker-dealer registrations and applications, investment company board reports and support during regulatory examinations.

Prior to joining JLG, Mr. Nuñez served as Chief Compliance Officer, Director of Client Services, and Securities Business Manager for Dunham & Associates Investment Counsel, Inc., a dually registered broker-dealer, federally registered investment adviser and investment company. Utilizing this diverse experience, Mr. Nuñez is able to assist counsel in many facets of our client's business needs.


B.S. Political Science, Excelsior College
FINRA Series 7, 24 (active) 4, 9, 10, 53, 66 licenses (inactive)

Professional Affiliations

Member, National Society of Compliance Professionals

Andrea Woods, Office Administrator / Executive Assistant

Andrea Woods

Practice Areas

  • Office Administration
  • C-Level Executive Support
  • Legal Research and Document Revision

Andrea Woods has worked in the legal industry, both nationally and internationally, for over 14 years. At present, she serves a dual role at JLG - Office Administrator and Executive Assistant to the firm's Managing Partner & CEO, Michelle Jacko. Ms. Woods' proactive and solutions-driven approach makes her instrumental in the seamless operation of the office, while her superior organizational skills, high attention to detail, resourcefulness and affable nature helps to ensure the CEO is supported in all endeavors.

Prior to joining JLG, Ms. Woods' professional background included the roles of Executive Assistant and Office Administrator at Mintz Levin and Latham & Watkins (both in San Diego and Barcelona), as well as Garrigues (in New York and later, Barcelona) and McDermott, Will & Emery. Ms. Woods is bilingual in Spanish. Before entering the legal field, she held positions at Instituto Cervantes, a branch of the Ministry of Education of Spain, as well as the Trade Commission of Spain in New York.


B.A. in Foreign Language and Literature; Major in Spanish / Minor in French, Frostburg State University

Lauren Hanington, Marketing Coordinator

Lauren Hanington

Practice Areas

  • Business and Brand Development
  • Digital Marketing and Analytics
  • Strategic Partnerships and Client Relations
  • Content Marketing

Ms. Hanington serves as Marketing Coordinator for JLG. Her responsibilities include business and brand development through marketing activities and initiatives involving email campaigns, digital marketing and promotion of events. She serves as the firm's content writer for our weekly blogs, maintains and updates the corporate website, designs and develops promotional materials, and implements and monitors SEO initiatives. She is instrumental in supporting our Director of Business Development and Marketing and building JLG's strategic partnerships and client relations.

Ms. Hanington has several years of marketing and content writing experience to her credit. Prior to joining JLG, she worked at Einstein Medical, where she was responsible for developing content for medical, dental and legal professionals. Previously, she was responsible for digital marketing efforts, including search engine optimization, social media and content management. Her experience has solidified her passion for combining digital marketing and high-quality content with traditional marketing that serves to build relationships and maximize return on investment initiatives.


B.A., Strategic Communications, Miami University

Sarah Mescher, Administrative Assistant

Sarah Mescher

Practice Areas

  • Office Administration and Support
  • Relationship Management
  • Compliance Administration
  • Event Logistics and Support

Ms. Mescher brings administrative, project management and customer service experience to her role as JLG's Administrative Assistant. In addition to providing office administration and support to our professional team and clients, Ms. Mescher plays an important role in interfacing with our prospective clients, liaising with them about their imminent compliance consultation needs. She also assists with client servicing efforts, and is instrumental in providing valuable compliance administration to our consulting team. A master of organization, Ms. Mescher also ensures the office continues to run smoothly and efficiently.

Prior to joining JLG, Ms. Mescher served as an administrative assistant at MakerPlace in San Diego, California. During her tenure at MakerPlace, Ms. Mescher earned the promotion of Office Manager for modeling superior service and providing a unique level of service that fostered client relationships and further enhanced the company's reputation. These experiences, combined with her ability to foster productive working relationships and implement time-saving processes, make her an invaluable asset to the office.


B.A., General Education, Ball State University

Leah Carpentier, Controller

Leah Carpentier

Practice Areas

  • Accounts receivable and payable
  • Financial records and reporting
  • Management of vendor accounting
  • Payroll and employee benefits

Ms. Carpentier serves as JLG's Controller. Her responsibilities include, among others, maintaining the company financial statements, general ledger, payroll and other accounting books and records. She also is responsible for financial forecasting and special analytics related to projections and company initiatives, oversees all vendor accounting, client billing and collection matters, and manages the company's insurance and employee benefits.

Ms. Carpentier is the primary interface for our clients' billing matters, including retainers and collections. She prides herself on the level of customer service she provides to our customers, and the firm.

Prior to joining JLG, Ms. Carpentier worked as a Billing Specialist for Higgs, Fletcher & Mack and K&L Gates. Her responsibilities focused on client billing and collections and other areas of firm accounting, including complex insurance billing matters.


B.A., Accounting, Central Washington University

Professional Affiliations

Institute of Management Accountants, The Association of Accountants and Financial Professionals in Business