M. Jacko
Managing Partner and CEO

Michelle L. Jacko, Esq.

Managing Partner and CEO

Michelle L. Jacko, Esq. is the Managing Partner and CEO of Jacko Law Group, PC (“JLG”), which offers securities, corporate, real estate, and employment law counsel to broker-dealers, investment advisers, investment companies, hedge/private funds and financial industry 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 adviser, broker-dealer, investment company and private fund regulatory compliance matters, internal control development, regulatory examinations, transition services, and operational risk management. Her consultation practice is focused on the areas of regulatory exams and formal inquiries, investment and merger and acquisition transactions, exit and succession planning, annual reviews, policies and procedures development, testing of compliance programs (including evaluation of internal controls and supervision), mock exams, senior client issues, cybersecurity, Regulation S-P, and much more.

Over the years and through a transformative market, Ms. Jacko has also developed service solutions throughout her practice, focusing on regulatory, compliance, commercial and corporate strategic solutions for the financial industry. Her practice focuses on formations and registration of broker-dealers, investment advisers and funds and platforms associated with each of these business models.  She focuses on transition and succession planning for companies, spearheading Jacko Law Group’s mergers and acquisitions practice area. She aligns her legal team to directly apply experienced legal acumen and business-savvy foresight to assist clients navigate and traverse the breakaway, formation, and growth plan for their corporation’s continued achievement, expansion, and upward trajectory.

Throughout this process, Ms. Jacko uses her 27 years of regulatory compliance experience to provide risk mitigation strategies to businesses.  She provides her clients with risk assessments, annual reviews and gap analysis, and serves as lead attorney for SEC and FINRA enforcement matters, regulatory formal inquiries, and regulatory examinations.  She has developed a practice that successfully helps our clients to be prepared for examinations through meticulous preparations, including mock interviews, compliance program document reviews, and counsel to members of senior management and interfacing with regulators throughout the process.   She frequently provides counsel on Chief Compliance Officer liability issues, assists advisors with regulatory reporting of disciplinary events and customer complaints, provides counsel on various representative onboarding and exit considerations and drafts complex agreements and client disclosure documents.

Utilizing an unparalleled service with a visionary strategy, Ms. Jacko’s counsel contributes to client success. She fosters trust amongst her team and has forged a path for JLG’s growing and multifaceted merger and acquisition practice, general corporate counsel services and regulatory compliance practice areas.

As a frequent presenter at national financial industry conferences, Ms. Jacko delivers insightful and thought-provoking workshops regarding industry hot topics and rising compliance issues. She is a frequent contributor to various industry journals and publications, including Barron’s Advisor, Charles Schwab, Investment Adviser Association’s IAA Today, National Society of Compliance Professionals’ CurrentsLawyer Monthly MagazineThomson Reuters, and more.  She also is a featured author in Modern Compliance, Vol. 1 and 2.

Ms. Jacko served as the former Vice-Chair of Education of the Corporations Committee for the State Bar of California Business Law Section and is a two-time Board member alumn of the National Society of Compliance Professionals. She is the Co-Founder and a member of the Southern California Compliance Group and also is a FINRA Arbitrator. Ms. Jacko is a member of Vistage International and actively participates in her community.

JLG and Ms. Jacko are proud to be members of the National Women Business Owners (NABWO) Corporation.

Throughout her career, Ms. Jacko has established herself as an influential leader, both locally and industry-wide. She has received numerous accolades and recognitions for her contributions, impact, and thought leadership. Since 2019, she has been selected as a finalist for San Diego Business Journal’s (SDBJ) CEO of the Year Award (2019-2022). She has also been selected for inclusion for the SDBJ’s 2022 Women of Influence 50 over 50, 2021 -2022 Women of Influence in Law SDBJ’s 2018-2022 Business Woman of the Year, 2020-2022 San Diego 500 Influential Business Leaders Award, 2020-2022 SD500, and prestigious 2020 Most Admired CEO Awards. Alongside the many awards from the SDBJ, Ms. Jacko  also was selected as a finalist for San Diego Magazine’s 2020–2021 Influential Women: Woman of the Year Award and was honored as a finalist for the 2019 NAWBO Bravo Awards - San Diego. International magazine CEO Today also selected Ms. Jacko as one of the 2019 and 2020 Business Women of the Year Awards. She also received Acquisition International magazine's Global Excellence Awards: Most Influential Woman in Securities Law 2019–2020 - San Diego, and locally was selected by San Diego Metro as one of the 12 Women of Influence in San Diego, CA.

Before starting both companies, Ms. Jacko previously 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). She 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 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 holds NSCP’s Certified Securities Compliance Professional (CSCP) designation and is a member of the National Association of Women Lawyers (NAWL).

In addition to her many accomplishments, Ms. Jacko is also dedicated to giving back to her community and charitable organizations. Throughout the years she has dedicated her time and efforts to numerous organizations, including the Autism Tree Project, Wounded Warriors Project, the ASCPA, the San Diego Food Bank, School of the Madeleine and more. She also supports whenever she can the military community.  It is her dedication to her team, her practice and her community that has laid the foundation for JLG’s impact and continued growth and success.

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Practices :
Mergers & AcquisttionsPrivate Equity & Private Fund ServicesSEC/State: Regulatory Compliance Services
SEC Grants Regulatory Relief for Firms Affected by COVID-19
Blog Outsourced-General Corporate Counsel
April 8, 2020

Firms may request an extension of up to 45 days on filings due from March 1, 2020 to April 30, 2020. To request an extension, firms must file the form 8-K or 6-K by the original filing deadline of the report and include the reason they could not file the report, schedule or form on a timely basis as well as an estimate of the date it will be filed.

The SEC also announced it will not recommend enforcement of in-person meetings for board meetings scheduled to be held through June 15, 2020 for approvals and renewals of contracts (including material changes), plans or arrangements under section 14c or rules 12b-1 or 15a-4b(2), or for selections of a fund’s independent public accountant.

View the SEC’s Press Release for more information.


Did your Business Continuity Plan Prepare Your Firm?

The pandemic and its rapid, worldwide spread has prompted governments in countries all across the globe to mandate closures of schools, restaurants, and stores, and enact social distancing measures to slow the spread of the disease. It has caused firms to enact Business Continuity Plans (BCP) to prevent significant business disruptions.


A thoughtful prevention program may help your employees stay healthy. The Center for Disease Control (CDC) and the World Health Organization (WHO) continue to publish updated information about preventative measures.

The Center for Disease Control (CDC), has published a flyer with guidance on how to stop the spread of the coronavirus germs:

  • Avoid contact with people who are sick
  • Cover your cough with a tissue then throw the tissue in the trash
  • Avoid touching your eyes, nose, and mouth
  • Clean and disinfect frequently touched surfaces
  • Stay home when you are sick, except to get medical care
  • Wash your hands often with soap and water for at least 20 seconds

Firms can further prepare to prevent the spread of germs by maintaining an inventory of surface wipes, hand sanitizing products, and masks and by requiring employees who have any symptoms of illness to stay home.

Continuing Business

Identifying essential business functions and plans to continue them in an emergent event is critical. Cross training employees on essential business functions will ensure that your firm is adequately prepared to continue serving clients in the event that you experience extended or multiple employee absences.

Providing accommodations for employees to work remotely requires access to software and hardware, remote servers, and cloud technologies. Identifying which employees are permitted or expected to work remotely and preparing and testing the capabilities in advance of a disruption is critical. There also are considerations for financial industry firms; see JLG’s March Risk Management Tip.  It is also important to verify that insurance coverage is extended to employees working remotely in the event of a disaster or emergency.

Service Providers

An evaluation of key service providers’ BCPs are an important aspect of a due diligence evaluation. Your firm should be aware of provider’s plans and include any necessary alterations to their business functions in your firm’s risk assessment and testing. Perform due diligence and be aware of vendor limitations.

Client Communication

Clients will undoubtedly be uneasy during uncertain times and concerned about your business and their investments. Communication about your continuity plans and any change in operations are critical to easing their fears.

Testing and Training

This coronavirus pandemic has been a true test of firms’ business continuity plans. Once life has settled and routines are back to normal, firms should review “lessons learned” as a result of COVID-19’s impact on the business, continue to test plans on an annual basis, and train employees with any updates to their plans.

Let Our Experience Work for You

Jacko Law Group and our team of attorneys are here to help! We can help your firm draft extension or relief requests from the SEC, create review and update business continuity plans related to a pandemic and beyond, and create or update your succession plan. Our experts are also available to test and update existing plans and to develop and deliver appropriate employee training. Contact Jacko Law Group today at info@jackolg.com or (619) 298-2880.

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