Regulatory Findings Response
Timeline StoriesDeficiency Letters Wells Notice Additional Document Request Administrative Proceedings
Deficiency Letters Wells Notice Additional Document Request Administrative Proceedings
Firm Welcome Presentation Staff Interviews Additional Document Request Liaison & Staff Interaction (Additional Document Request)
Review of Document Mock Interviews with Key Personnel Additional Document Request JLG Mock Examination Findings Report
Lindsey Thomson Paralegal
This month’s Risk Management Tip will further explore the new requirements for promoters who solicit on behalf of investment advisory firms.… Read More
We are proud and honored to announce that CEO Michelle L. Jacko has been included as a finalist for the 2022 CEO of the Year Awards by the San Diego Business Journal. According to SDBJ, “Now in its 17th year, the CEO of … Read More
We are excited to announce that the San Diego Business Journal has recognized Managing Partner Michelle Jacko as a Women of Influence in Law for 2022! Congratulations Michelle! Click here to learn more and see the full list of honorees.