Alicia Bond
Director of Operations, Counsel

Alicia M. Bond, Esq.

Director of Operations, Counsel

With a strong business background, Alicia M. Bond serves as the Director of Operations and Counsel at Jacko Law Group, PC (“JLG”). Ms. Bond manages legal operations, day-to-day business of the firm, and oversees the company’s processes and systems. As trusted counsel, she collaborates with the CEO on the strategic direction and vision of the firm. Operationally, Ms. Bond focuses on multi-department alignment, cross-functional communication, and implementation and effectiveness of business growth strategies.

Ms. Bond is values-driven and committed to creating a corporate culture while providing exceptional service through collaboration and teamwork. She oversees the firm’s approach to the delivery of comprehensive legal services and supports the overall company mission. Ms. Bond is dedicated to building excellence and exceeding client expectations through strategic business planning that supports client initiatives and accelerates outcomes.

As a relationship-focused professional, Ms. Bond works in partnership with our external business partners to nurture positive long-term relationships and foster trust. Her commitment to DE&I and concentrated efforts prioritize creating an inclusive environment that promotes diversity at all levels. At JLG, she focuses on people, seeks to build successful teams, and identifies opportunities for growth to create a sustainable workplace for all. Ms. Bond’s passion for advocacy, conscious leadership and service helps improve operational efficiency and drive overall growth.

A changemaker, she encourages sharing diverse ideas and empowers others to make a difference through their work. Daily, Ms. Bond provides support and training to our JLG Team. In decision-making, her intuitive problem-solving skills empower her to identify challenges and propose individualized solutions that address specific business objectives and meet clients’ unique service demands.

Given her background in corporate law, Ms. Bond truly enjoys representing clients, working with business partners, and helping to manage risk. A lifelong learner, she continues to expand her practice areas to build upon her broad legal experience. Having worked as part of an in-house legal team, she is a forward thinker who collaborates with our JLG Team and business clients to provide strategic outsourced general counsel services. Ms. Bond believes in achieving limitless potential and works hard to understand the various issues businesses and leaders face.

Ms. Bond adds value to her innate ability to listen to clients’ needs and find the best path forward coupled with her passion for achieving positive results. In building an effective team, she identifies their unique talents and develops those strengths holistically to achieve the best outcomes on behalf of our clients and overall success for our JLG Team.

Ms. Bond believes in servant leadership and collaborates to align behaviors with values in leading client servicing efforts. As a trusted advisor, she is intentional in her counsel and strategic in her legal approach. In working to provide outsourced general counsel on client projects, she has been able to help identify opportunities for improvement and mitigate business risks. She has positioned herself to be effective in multiple practice areas by developing creative solutions and custom-tailored service offerings.

Working with Ms. Bond, she encourages tough conversations and leads with honesty and integrity in “doing the right thing.” She partners with our legal team on project management in providing valuable legal insight and conscious counsel on client matters. She has developed a keen eye for “finding the needle in the haystack” and problem-solving at all stages of business from formation to succession planning.

Through analysis and constant learning, Ms. Bond gains a greater understanding of the financial markets and the securities industry. In Mergers and Acquisitions, Ms. Bond is focused on oversight adding in-depth analysis starting during the initial due diligence process. For clients anticipating an imminent transition, she brings her prior in-house experience to the table. Alongside our JLG Team, Ms. Bond works with clients in strategic business planning that aligns with organizational values and business goals.

As part of the strategic initiatives at JLG, Ms. Bond’s approach to business and legal practice emphasizes organic growth and keeps the best interest of the clients who we serve at top of our minds especially as we expand our business model and service areas. Throughout her career, she has developed and continues to hone her understanding of complex business agreements, contract terms, and business transactions. Ms. Bond takes the time to understand the goals of our clients and their business objectives to fully align agreements including employment contracts to protect clients as companies manage continuous change and growth.

Prior to joining the JLG team, Ms. Bond served on the corporate legal team for Welk Resorts as Compliance Manager working with the General Counsel. Within her role, she concentrated on board management, compliance, and corporate governance. Ms. Bond successfully managed 14 legal entities in collaboration with the management team and supported various legal projects. In over a decade of law practice, she has worked with law firms in Florida, Illinois, and Mississippi. Ms. Bond has handled criminal and civil matters in varied practice areas including breach of contract, corporate law, employment law, insurance claims, non-profit management, as well as other general business matters.

Ms. Bond earned her Juris Doctor from Stetson University College of Law and her Master of Business Administration from Stetson University. She received her undergraduate degree in Legal Studies from the University of Central Florida. She is admitted to the Florida Bar and eligible to practice law in California as a Specially Registered Attorney.

A zealous advocate, Ms. Bond has a passion for promoting equity and community service having been recently selected for the 2023 SDBCA Leadership Academy. She currently serves as Board Member and Development Co-Chair for the Chicano Federation of San Diego County. Ms. Bond has previously served as a volunteer attorney for the San Diego Volunteer Lawyer Program, Inc., where she provided pro bono legal services to some of San Diego's most vulnerable residents. She also served as the first President of the USS America Family Readiness Group (FRG), a military support organization. Ms. Bond is a dedicated mother and wife who loves spending time with family and friends; she enjoys being outdoors hiking, traveling, and practicing yoga.

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Business Operations and Legal ServicesDevelopment and Firm StrategyCompliance and Corporate Governance. Strategic Partnerships and Planning
Form U5: The Importance of Engaging Securities Counsel Prior to Form U5 Submission/Disclosure
Form U5 Expungement Counsel Legal Risk Management Tips
April 28, 2022

Many financial professionals, investment advisers, and registered representatives that we work with have had the privilege of working in the financial industry for over a decade or two, sometimes with the same firm. Amid the Great Resignation, we have seen clients either choosing to make a big career transition, or suddenly facing an unexpected termination as today’s workforce continues to change and the industry evolves in this post-pandemic world. When an individual employed by a broker-dealer or investment adviser leaves employment for any reason, whether voluntarily planning an exit or otherwise facing termination, Form U5 must be filed. Thereafter, the employing firm is required to provide the financial professional with a copy of the Form U5 within 30 days of the termination event.

Our team at Jacko Law Group, PC (“JLG”) understands that disclosures pertaining to an investment adviser or registered representative can impact one’s career. Transitioning can present its challenges especially when a reporting firm must disclose why an individual has left the firm and sometimes departures involve an alleged violation of “firm policy” or other disagreements. For this reason, it is best to engage experienced regulatory counsel who is familiar with this process as early as possible to provide guidance in navigating this departure and transition. This month, we review issues relating to Form U5 disclosures and look at a hypothetical case study where we discuss certain considerations that may arise in connection with a Form U5 disclosure and how engaging counsel early can help.

Hypothetical Case Study

 A seasoned investment adviser representative and broker (“advisor”) with over twenty years of experience in the financial industry had been promoted several times and was serving in a senior management role with his employer, which is a dual registrant (i.e., a broker-dealer and investment advisory firm). Unexpectedly, he was terminated.  Understandably, he was concerned as to what his former employer would say regarding his departure and how this would impact his career.

The prior company and reporting firm claimed that the reason for the termination was an alleged violation of a firm policy unrelated to sales practices or trading. The adviser disagreed with the way his departure was handled as there seemed to be a misunderstanding between the parties related to the firm’s policies and procedures. Unfortunately, despite the sensitive nature of the issues involved and the adviser’s attempts to address his concerns directly with HR, ultimately the adviser was terminated. Soon after the termination, the adviser was presented with a new opportunity with a potential employer who was interested in hiring him – but the firm wanted to know if there would be any problematic language on the Form U5 and the facts and circumstances leading up to the transition – before making a hiring decision.

The advisor sought legal guidance through this transition to help facilitate discussions with his prior employer regarding the proposed Form U5 language and to draft a Broker Statement to present to present to future employers. Additionally, the advisor needed assistance to ensure that he obtained any obligations owed to him from his former employer to include any deferred compensation.

In this instance, by engaging counsel early within the first week after his termination and in being proactive through the process in communications with the former employer, counsel was able to interface with counsel for the prior employer to request employment records and the advisor had an opportunity to discuss and review the proposed Form U5 language prior to it being filed within the thirty days.  As a result of his collaboration with experienced regulatory counsel, the advisor was able to know about and help to clarify, with the help of counsel, the Form U5 disclosure that ultimately was filed, including the stated reason for termination.

As a result, the Form U5 disclosure was known and could be discussed ahead of time with future employers, and the adviser has since been able to successfully transition into a senior leadership position with his new firm without incident.

Below we discuss how counsel can help to set expectations and steps advisors should consider after initial termination and prior to the filing of the Form U5 disclosure.

You have given notice or received a notice of termination. What’s Next?

Under FINRA Rule 3110, broker-dealer and investment adviser firms are required to file the Form U5 Uniform Termination Notice for Securities Industry Registration to terminate the registration of an individual within 30 days.[1] Typically, when, for example, an investment adviser receives a notice of termination, they often understand that the reporting firm has limited time to file the Form U5, but they don’t know what to do next or what to expect during this process and so they choose to consult with regulatory counsel for guidance and support. Upon engagement, we work with the financial adviser or professional to set reasonable expectations and foster discussions with the reporting firm and prior employer.

Once an individual has been terminated, the financial professional will call our team at JLG with questions wanting to know what their Form U5 will say or what their future employer will learn about the reason for their termination. Being proactive and engaging counsel early allows the opportunity to consult with an experienced attorney who can analyze your personal situation and reach out to your prior employer on your behalf before the Form U5 is filed, to ensure the accuracy of the disclosure. We will request your employee file and inquire as to the proposed disclosure language including the stated reason for termination – resigned, permitted to resign, discharged, or other.

Depending on the nature of the disclosure, counsel will also assist in drafting a broker comment in response to a disclosure that appears on the BrokerCheck.[2] Last, drafting a Broker Statement that outlines the professional’s career history and the circumstances surrounding the termination can be helpful to present to future employers and ultimately make a positive impact and result in a smooth transition to the next stage of a financial professional’s career.

Why JLG?

Our JLG team is prepared to work with you and to help you take positive steps after a termination. We believe that together we can work to achieve your desired outcome while mitigating future risks to your career and reputation.

At JLG, we care about our clients and our vision is to establish an ongoing relationship where your business and career goals are top priority. Our purpose is not only to serve our clients, but to protect and support you through this Form U5 reporting process and throughout your professional career in the financial industry. For more information on how JLG can help you with Form U5 disclosures, please contact us at (619) 298-2880.

Author: Alicia M. Bond, Director of Operations & Counsel; Editor: Michelle L. Jacko, Managing Partner, Jacko Law Group, PC (“JLG”).  JLG works extensively with investment advisers, broker-dealers, investment companies, private equity and hedge funds, banks and corporate clients on securities and corporate counsel matters.  For more information, please visit

The information contained in this article may contain information that is confidential and/or protected by the attorney-client privilege and attorney work product doctrine. This email is not intended for transmission to, or receipt by, any unauthorized persons. Inadvertent disclosure of the contents of this article to unintended recipients is not intended to and does not constitute a waiver of attorney-client privilege or attorney work product protections.

The Risk Management Tip is published solely based off the interests and relationship between the clients and friends of the Jacko Law Group P.C. (“JLG”) and in no way be construed as legal advice. The opinions shared in the publication reflect those of the authors, and not necessarily the views of JLG. For more specific information or recent industry developments or particular situations, you should seek legal opinion or counsel.

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[1] FINRA Form U5 Instructions at


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