Dialogue with Area Regulators
Michelle L. Jacko presented on Dialogue with Area Regulators at the National Society of Compliance Professionals’ (NSCP) Regional Meeting on February 22, 2010 in San Francisco, CA.… Read More
Michelle L. Jacko presented on Dialogue with Area Regulators at the National Society of Compliance Professionals’ (NSCP) Regional Meeting on February 22, 2010 in San Francisco, CA.… Read More
Michelle L. Jacko presented on Adviser Issues in the Institutional and Retirement Marketplaceat the NRS Twenty-fourth Annual Investment Adviser and Broker-Dealer Compliance Conference on November 3-6, 2009 in Las Vegas, NV.… Read More
Michelle L. Jacko presented on New Form ADV Part 2 Most Difficult Disclosure Issues Revealed at the IA Week Fall Conference on September 23, 2008 in Philadelphia, PA.… Read More
Michelle L. Jacko presented on Form ADV, Dramatic Change Ahead at the National Regulatory Services 23rd Annual Spring Compliance Conference on May 12-15, 2008 in Miami, FL.… Read More
The Securities and Exchange Commission (SEC) announced it had settled charges against Brian Fettner, a Nevada resident, who illegally obtained and later made trades based on sensitive “insider” information he discovered while staying at the residence of a long-time…
The developing market of virtual currencies and online trading continues to present difficulties for the financial investment industry. In late April 2019, the Securities and Exchange Commission (SEC) released an investor alert that advised extreme caution surrounding digital asset…
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
Lincolnshire Management, Inc. (“LMI”) has reached a settlement agreement with the Securities and Exchange Commission (“SEC”) for sharing expenses between two companies’ portfolios in a manner that improperly benefited one fund over the other. This settles charges that the…
The Securities and Exchange Commission (“SEC”) has charged a Houston-based advisory firm with fraud for failing to disclose conflicts of interest to investors. Robare Group Ltd. (“Robare”) had a compensation arrangement in place with the unnamed brokerage firm who was…
Attorneys for Samuel E. Wyly (“Sam Wyly”) and his late brother Charles J. Wyly (“Charles Wyly”) (jointly, the “Wylys”) presented arguments to a U.S. District Judge disputing the amount the Wylys are being ordered to pay for their role in…