Jacko Law Group, PC
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San Diego 619-298-2880 San Francisco 415-766-3599 Los Angeles 213-631-2549

January 2017 Archives

Are You Considering Breaking Away?

broker_dealer_cloud_400-351 The number of advisers considering breaking away from a traditional broker-dealer business model is on the rise. According to the latest research from Echelon partners, last year alone, more than 400 teams broke away from their broker-dealers to go independent, with over 15% becoming their own RIAs.

Investment Adviser in Trouble with SEC After Failing to Disclose Solicitation Agreement

SECpicEarlier this month, John Rafal, former president and CEO of Essex Financial Services, Inc., admitted wrongdoing and agreed to pay more than $575,000 in settlement charges.  According to the SEC, the Connecticut-based investment adviser defrauded a client, attempted to mislead the SEC’s enforcement investigators and lied to his other clients about the status of the SEC’s investigation.
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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
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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
Map & Directions