Broker-Dealers Archives - Jacko Law Group

Considerations for Private Placement Investments

December 20, 2022 by M. Jacko

Today’s current economic marketplace is dynamic. Particularly when volatility peeks in the financial markets, investors and asset managers seek new opportunities for diversification. Thus, alternative investments are an increasingly important part of an investment portfolio.… Read More

Breakaway & Transition | Broker-Dealers | Media Mentions

Jeremiah Baba Pagano Quoted in Barron’s Adviser

August 17, 2022 by Jeremiah Baba Pagano

Attorney Jeremiah Baba Pagano was quoted in a Barron’s Adviser blog post titled “6 Missteps that Trip Up Brokers Who Leave Big Wall Street Firms,” on August 17, 2022. Within the post, Jeremiah explains how tax implications are often an afterthought … Read More

Blog | Broker-Dealers

Investors, Advisers Must be Mindful to Comply with New U.S. Ban on Estimated $1 Trillion of Chinese Securities

January 22, 2021 by Jacko Law Group, PC

Financial advisers and broker-dealers should conduct thorough and frequent reviews of their clients’ holdings in certain Chinese companies now that a November Executive Order that prohibits new U.S. investments in companies with alleged ties to China’s military has taken effect.

Blog | Broker-Dealers

SEC Proposes a Big Exemption to Assist Small Businesses in Raising Much-Needed Capital

October 20, 2020 by Jacko Law Group, PC

The COVID-19 pandemic has decimated small business at an unprecedented rate and sent the U.S. unemployment rate to its highest level since the Great Depression, reaching a high of 14.7% in April 2020.

Breakaway & Transition | Broker-Dealers | Legal Risk Management Tips

What Transitioning Advisors Need to Know About Broker Protocol

August 26, 2020 by Jacko Law Group, PC

Jacko Law Group, PC (“JLG”) continues to see a high volume of financial advisors transitioning from one broker-dealer or registered investment advisory firm to another. When advisors[1] change firms in the heavily-regulated financial industry, they and the firms they are joining must understand federal and state laws, as well as contractual limitations and how those considerations will factor in to the transition process.… Read More

Blog | Broker-Dealers

Jury Returns Verdict for SEC in Case Against Broker Charged with Fraudulent Excessive Trading

August 21, 2019 by M. Jacko

The outcome of a recent jury trial in Manhattan has underscored the importance of the Securities and Exchange Commission’s new Regulation Best Interest and the Commission’s ongoing commitment to enforcing the standard of investment suitability for retail clients.

Broker-Dealers | Industry Publications | Investment Advisers

Compliance Considerations for Advisory Firms With Dually Registered Advisors in the Independent RIA and Hybrid Business Models

August 5, 2019 by Jacko Law Group, PC

Michelle L. Jacko wrote the article titled Compliance Considerations for Advisory Firms With Dually Registered Advisors in the Independent RIA and Hybrid Business Models which was published in the Charles Schwab Compliance Review’s May 2011 issue. … Read More

Broker-Dealers | Industry Publications

Annual Compliance and Supervision Certification: Lessons Learned by Broker-Dealers

August 1, 2019 by Jacko Law Group, PC

Michelle L. Jacko published the article titled Annual Compliance and Supervision Certification Lessons Learned by Broker-Dealers in the National Society of Compliance Professionals’ (NSCP) HotLine Memo in May, 2006. … Read More

Broker-Dealers | Events

BD/IA – Dual Registrant Challenges

July 29, 2019 by M. Jacko

Michelle L. Jacko presented on BD/IA – Dual Registrant Challenges at the National Society of Compliance Professionals’ (NSCP) National Meeting on October 22, 2014 in Washington, D.C.… Read More

Broker-Dealers | FINRA Broker-Dealer Regulatory Counsel | Legal Risk Management Tips | Regulatory Compliance

WSPs: Windsor Street Capital, LP fka Meyers Associates, L.P.

April 1, 2019 by Jacko Law Group, PC

David Sobel wrote a Legal Tip for Jacko Law Group titled WSPs: Windsor Street Capital, LP fka Meyers Associates, L.P. in April, 2019.… Read More

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