The Securities and Exchange Commission’s (“SEC’s”) Division of Enforcement released its Annual Report (the “Report”) last month, which discusses enforcement cases for its fiscal year of 2019. According to the Report, the SEC filed 862 enforcement actions in FY 2019, resulting in disgorgements and monetary penalties of roughly $4.35 billion.… Read More
The Securities and Exchange Commission (“SEC”) has charged two Prudential subsidiaries with a failure to monitor and report conflicts of interest that proved costly to fund shareholders.
Michelle L. Jacko published the article titled Best Practices to Use During the SEC Examination in the Shustak & Partners, PC Newsletter in 2004.… Read More
Michelle L. Jacko presented on SEC Examinations at the Charles Schwab Compliance Solutions 2018 National Conference on May 10, 2018 in San Antonio, TX.… Read More
Michelle L. Jacko presented on SEC Hot Topics for the National Society of Compliance Professionals (NSCP) on May 3-4, 2018 in San Francisco, CA.… Read More
Michelle L. Jacko presented on SEC Expectations for Cybersecurity Incident Response Plans at the Schwab Impact 2017 Meeting on November 14-17, 2017 in Chicago, IL.… Read More
Michelle L. Jacko presented on Regulatory Examinations at the National Society of Compliance Professionals’ (NSCP) National Conference on October 16-19, 2016 in Washington, D.C.… Read More
Michelle L. Jacko presented on SEC Exam Priorities for the Investment Advisor (IA) Watch Webinar on March 24, 2015.… Read More
With the passing of every month, the investment industry sees another round of enforcements involving the mishandling of initial coin offerings (“ICOs”). The still nascent landscape of cryptocurrency investing continues to pose significant difficulties for investors, firms, and regulatory…
In yet another case of fraud targeting senior investors, the Securities and Exchange Commission (SEC) has charged William Neil “Doc” Gallagher, a Texas-based man touting himself as “the Money Doctor,” in an emergency action to halt a sizeable Ponzi…