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Understand. Define. Achieve. Uniquely situated to offer comprehensive services to registered investment advisers, securities broker-dealers, hedge funds, financial professionals and organizations of all sizes.
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Archive 2016

JLG Legal Tips 2016

2016 SEC Enforcement Cases: A Year In Review – Dec. 2016

By: Robert Boeche, Esq., Attorney

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Broker-Dealers, It's Time to Review Your Written Supervisory Procedure - Nov. 2016

By: David Sobel, FINRA Specialist

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Back to Basics – Private Equity Compliance – Beyond Fee and Expense Practices – Oct. 2016

By: Robert Conca, Esq., Partner

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Considerations When Forming a New Business - Sep. 2016

By: Robert Boeche, Esq., Attorney

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Legal Considerations for Your Cybersecurity Program – Aug. 2016

By: Michelle L. Jacko, Esq., Managing Partner

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Regulatory Requirements and Risks Associated with Conducting Due Diligence on Third-Party Service Providers – Jul. 2016

By: Robert Boeche, Esq., Attorney

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CCO Liability: What You Need to Know – Jun. 2016

By: David M. Sobel, FINRA Specialist

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Regulatory Considerations For Servicing Aging Clients - May 2016

By: Michelle Jacko, Esq., Managing Partner

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Breaking Away: Vital Considerations for the Transitioning Advisor – Apr. 2016

By: Robert D. Conca, Esq.

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Considerations When Purchasing an Investment Advisory Business - Mar. 2016

By: Robert Boeche, Esq., Attorney

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SEC Examination Priorities In 2016: How They May Impact Your Compliance program - Feb. 2016

By: Michelle L. Jacko, Esq., Managing Partner

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Private Equity – 2015 Enforcement Summary and What to Expect in 2016 - Jan. 2016

By: Robert Conca, Esq., Partner

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San Diego Office
1350 Columbia Street
Suite 300
San Diego, CA 92101

Toll Free: 866-497-2298
Phone: 213-631-2549
Phone: 619-298-2880
Fax: 619-298-2882
Map & Directions

San Francisco Office
Four Embarcadero Center
Suite 1400
San Francisco, CA 94111

Phone: 213-631-2549
Phone: 415-766-3599
Fax: 619-298-2882
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Los Angeles Office
535 N. Brand Boulevard
Suite 270
Glendale, CA 91203

Phone: 213-631-2549
Fax: 619-298-2882
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