Trustindex verifies that the original source of the review is Google.
Dharmi is an excellent securities lawyer who understands the law as it pertains to these cases. She is extremely proactive and represents her clients well. I highly recommend Jacko and Dharmi.
Posted on Google
Danielle Martin
Trustindex verifies that the original source of the review is Google.
I’ve had the privilege of working closely with this firm in my role as Chief Compliance Officer and I can confidently say they are an exceptional compliance partner. Their depth of experience is immediately evidentand they bring a level of practical knowledge. What I truly enjoy is their ability to translate complex regulatory requirements into plain English, often using real, everyday examples that make implementation far more manageable. They are also incredibly responsive and reliable. In a field where timing matters, their prompt communication and thoughtful guidance have been invaluable. If you’re looking for a compliance attorney who combines expertise, clarity, and professionalism, I highly recommend them.
Posted on Google
Curt Rocca
Trustindex verifies that the original source of the review is Google.
Michelle and the team at Jacko Law Group have helped guide through a variety of critical circumstances as we ventured through the uncharted and unfamiliar territory of becoming and successfully operating as an RIA. I have particularly appreciated Michelle's personal involvement and genuine caring about us and our organization. She has been responsive and her counsel has been consistently on-point and helpful. She artfully guided us through our initial filing process and first SEC exam process - which went very well. Very grateful to Michelle and her team.
Posted on Google
Nicholas Di Paolo
Trustindex verifies that the original source of the review is Google.
Michelle and her team were excellent to work with, front to back. They helped me to understand the challenges ahead and were always proactive in their consultation through every step of my transition. JLG truly know the wealth management industry very well and did a great job of understanding the challenges unique to my business. Without them, I can confidently say I would not have felt as comfortable through the transition as I did. Fortunately, that's not something that stops there - Michelle and her team have kept in touch to ensure that I'm on top of certain administrative issues, trends, and simply showing me that they care about my business and success. I look forward to continuing to work with them for many years to come.
Posted on Google
Margery Neis
Trustindex verifies that the original source of the review is Google.
Dharmi Mehta was extremely helpful when my business partner and I transitioned to a new RIA firm. She and her staff were all very professional. Her guidance during our transition was invaluable. I highly recommend Dharmi and Jacko Law Group.
Posted on Google
Joseph Burwell
Trustindex verifies that the original source of the review is Google.
Dharmi and Amandeep were a delight to work with. They assisted me with a claim and stuck with me the entire way through. Dharmi's advice was invaluable, and I was most impressed by her clear and professional communication. From beginning-to-end, both Dharmi and Amandeep kept me well informed. Their entire team are proud of their work and rightfully so. Thank you!
Posted on Google
Faruk Jaffer
Trustindex verifies that the original source of the review is Google.
My mentor once told me that a good attorney is worth their weight in gold — and that couldn't be more true of Michelle and Amanda. Their expertise, professionalism, and responsiveness were top notch every step of the way. It's rare to find legal partners who are not only sharp and thorough, but also genuinely invested in your success. I’m grateful for their guidance and highly recommend them to anyone seeking trusted legal counsel.
Posted on Google
everistus etafo
Trustindex verifies that the original source of the review is Google.
It is my great Privilege to share my Review of what Atty Dharmi Mehta of Jacko Law Group did for me and by extension for my family. From the first time complimentary conversation we had having spoken to several other Lawyers ,l knew she was the right person for the Job .Because of her background as a former RR ,she was professional,kind, Empathetic,listened and was focused on fighting for me. From a potential of been terminated with cause ,l was able to walk away with a clean U5 with a validation that l did nothing wrong except what was in the best Interest of my clients. I hope nobody ever has to go through what l have Experienced, but if you do ,you want Dharmi Mehta beside you .Rest assured your service Deserve 10 stars but this forum only allows 5. Me and my family are forever grateful and will make sure that any RR who needs an advocate will know about you . Everistus Etafo
Posted on Google
Karen Althaus
Trustindex verifies that the original source of the review is Google.
I have worked with Jacko Law Group for 2 different business situations that necessitated an attorney. In both cases, the team was very thorough & competent. Their attention to our situation and the extra effort they put into our case(s) was very much appreciated. I would highly recommend Jacko Law Group!
Regulatory Compliance Counsel for Businesses
Legal Counsel for the Securities & Financial Industries
Jacko Law Group, PC (“JLG”) provides comprehensive Regulatory Compliance Counsel for every stage of a business from formations, registrations and filings to regulatory examinations, investigations and enforcement counsel. Our experienced regulatory compliance legal team works with clients to keep their businesses compliant and stay on track to meet their business objectives.
Our regulatory compliance legal team understand the complexities of the financial and securities industries because we have worked in those industries. Our attorneys bring their strategic, in-house experience from working in financial institutions to each engagement.
The experienced attorneys work with businesses across a wide range of sectors, providing legal counsel in areas of regulatory compliance, risk management, and corporate governance. From developing regulatory compliance programs to advocating for our clients through investigations, examinations, investigations, and enforcement matters, we cover all the bases to protect your firm and achieve your business objectives.
Regulatory Compliance Legal Services
Our regulatory compliance counsel services help businesses proactively manage regulatory risk, prepare for examinations, and maintain compliance with complex federal and state regulatory requirements. We guide you through audits, enforcement inquiries, AML programs, and governance issues with seasoned legal expertise
Extensive Experience in Securities Regulatory Compliance
Jacko Law Group helps businesses manage their regulatory obligations and develop robust compliance programs. Whether you need assistance with regulatory filings, wish to form a Registered Investment Adviser, a Broker-Dealer or Private Fund, or require representation during an SEC exam, we tailor our services to meet your specific needs.
In today’s regulatory environment, proactive risk management is critical to safeguarding the interests of your firm and its stakeholders. At Jacko Law Group, our Securities attorneys provide risk management counsel to businesses nationwide. We help firms identify and mitigate risks, evaluate compliance program effectiveness, and conduct mock regulatory examinations to ensure ongoing compliance. During regulatory exams or formal inquiries, we are at your side.
By understanding your firm’s business model, we can assess your current internal controls and identify potential risks. Our team works with you to strengthen these controls, address compliance with regulatory requirements, and improve operational efficiencies.
Whether you manage a hedge fund, private equity firm, investment adviser, broker-dealer, or a newly formed company. Our experienced attorneys offer regulatory compliance solutions, along with the knowledge, resources, and personalized counsel you need to stay compliant and succeed in today’s fast-paced financial markets.
FAQs
What is Regulatory Compliance Counsel for Financial Services Firms and does my business need it?
Answer: Regulatory compliance counsel for Financial Services firms refers to legal services that help businesses in the financial services industry understand, implement, and comply with the complex web of rules and regulations applicable to their industry. For firms in financial services or other regulated sectors, regulatory compliance attorneys help manage risk, prepare audits or examinations, draft policies, and respond to inquiries or enforcement actions from regulators like the SEC or FINRA.
What specific compliance services does Jacko Law Group offer?
Answer: Jacko Law Group provides comprehensive regulatory compliance counsel, including:
Preparation for regulatory examinations and mock exams to assess readiness
Representation during enforcement inquiries and exams
Development and evaluation of compliance programs
Anti-money laundering (AML) support
Corporate governance and risk management counsel
Assistance with registration and filings for investment advisers, broker-dealers, private funds, and more
*Form ADV filings, amendments and disclosures
Which regulatory agencies can Jacko Law Group help me with?
Answer: The firm’s regulatory compliance team can represent and advise clients before federal and state regulatory bodies, including the U.S. Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), and state securities regulators, helping you prepare for and respond to examinations, audits, and enforcement inquiries.
What industries or types of firms do you serve?
Answer: Jacko Law Group works with a wide range of businesses — particularly those in the securities and financial services sectors, such as registered investment advisers, broker-dealers, hedge funds, private equity firms, and other regulated entities. Their team tailors compliance strategies based on your firm’s specific regulatory landscape.
How does the regulatory exam preparation process work?
Answer: Preparation often begins with mock examinations that simulate real inspection scenarios. Counsel reviews your internal controls, conducts interviews, provides regulatory document request lists, and gives feedback to senior management to strengthen your compliance efforts before regulators arrive.
When should my business seek regulatory compliance counsel?
Answer: You should consider engaging regulatory compliance counsel when:
You want proactive regulatory counsel services
You’re launching new products, services, or business lines
Regulatory exams or inquiries are imminent
There have been changes in regulatory requirements
You need to improve or redesign your compliance program
Your firm has experienced compliance failures or risks
Alan MarkfeldTrustindex verifies that the original source of the review is Google.
Dharmi is an excellent securities lawyer who understands the law as it pertains to these cases. She is extremely proactive and represents her clients well. I highly recommend Jacko and Dharmi.Posted on Google
Danielle Martin
Curt Rocca
Nicholas Di Paolo
Margery Neis
Joseph Burwell
Faruk Jaffer
everistus etafo
Karen Althaus
