Tampa Securities Regulatory and Compliance Lawyers

Jacko Law Group, PC is the top securities regulatory and compliance law practice for investment advisors, private funds, investment companies and broker-dealers in Tampa, Florida.


    years helping businesses thrive.


    businesses served


    Business contracts


    Regulatory Compliance

    We help firms develop and maintain comprehensive, up-to-date compliance programs that meet SEC, FINRA and state requirements.

    Exit Planning

    We provide business owners with knowledgeable and strategic exit planning services that incorporate preparing for a successor and setting up the right tax structure to give them the tools to exit their business on their terms, protecting their future dreams and goals.

    Examinations & Enforcement

    Jacko Law Group helps businesses meet the stringent rules set by regulatory agencies. Our attorneys help clients prepare and demonstrate compliance during annual examinations and offer representation during enforcement procedures.

    M&A/Transition Services

    Jacko Law Group has decades of experience helping businesses with their Mergers and Acquisitions needs, and other business transitions. We develop a comprehensive strategy that addresses potential issues, so our clients can consolidate businesses with confidence.

    Formations & Registrations

    Jacko Law Group offers legal counsel for businesses forming and registering an entity. With experience in complex business structure and tax planning, we provide a strategic roadmap that sets our clients up for success and provides protection from foreseeable challenges.

    Private Fund Counsel

    We offer experienced legal counsel in global Private Fund services for partners and advisers to private funds. Our attorneys understand the complex variables involved in setting up the right entity, addressing regulatory concerns, and considering tax implications.


    Our securities regulatory and compliance attorneys have worked with firms in Tampa and other cities for decades, providing them with expert legal counsel that allows them to build their businesses successfully and compliantly.

    As industry leaders, the securities regulatory and compliance lawyers at Jacko Law Group bring a strong skill set of legal knowledge and in-house experience to support our clients’ growth from business formation through enforcement counsel and more. We work with our clients to establish and nurture a culture of compliance that meets the requirements set by the SEC, FINRA and state regulatory agencies.

    Our clients in Tampa, Florida and other parts of the country recognize the significance of working with the right securities legal team. With Jacko Law Group, firms can be confident that their compliance and regulatory needs for the finance industry are in good hands.

    Jacko Law Group understands the strict regulatory demands on businesses in Tampa. Our experienced securities regulatory lawyers analyze and develop comprehensive compliance programs to ensure that our Tampa clients have clear-cut policies, and procedures in place.

    When we work with registered investment advisors and investment companies, or broker-dealers in Tampa to address their securities regulatory and compliance needs, our role is to protect their hard work. Our securities attorneys tailor compliance services based on our clients’ business stage, immediate concerns, and long-term goals. We review their compliance programs, address weaknesses, and provide ongoing legal counsel to keep their efforts safe from enforcement actions.

    In the finance and securities industries, compliance rules are always in flux. This is why our securities and compliance lawyers work with our Tampa clients to maintain their compliance program. We see our role as partners and protectors. Their success is our success. Their growth is our growth.

    We strive to be the best Regulatory and Compliance Lawyers for your Tampa business, and we appreciate the recognition.


    The securities regulatory and compliance lawyers at Jacko Law Group understand the challenges Tampa businesses face in satisfying their regulatory obligations. When potential clients approach us, we strive to get a rounded picture of their needs. Our compliance lawyers address the client's immediate and future needs, their expectations of us, and their current regulatory and compliance efforts.

    Furthermore, we are securities and compliance lawyers and are fully aware that our expertise is nuanced and may not be common knowledge for those in other specialties. This is why we insist on taking the time to answer any questions or bring any issues to light that potential clients may not have considered.

    Tampa firms in finance and securities have many securities regulatory and compliance law firms available. However, we at Jacko Law Group believe that choosing a law firm with experience, and a proven track record, can have a tremendous impact on the success of a firm.

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    What do Securities regulatory and compliance Lawyers in Tampa, FL do?

    Regulatory and compliance lawyers serving Tampa clients in securities and finance provide legal counsel and services to help clients remain compliant and avoid disciplinary action.

    Tampa-based investment advisors, investment companies, broker-dealers and advisers to private funds that do not meet regulatory and compliance requirements face fines and other enforcement actions.

    The securities regulatory and compliance attorneys at Jacko Law Group work with firms to establish and maintain a dynamic compliance program, provide legal counsel through inquiries or enforcement actions, assist with exam prep, and more.

    Hiring a Trustworthy Securities regulatory and compliance Lawyer in Tampa, Florida

    Tampa firms looking to hire a trustworthy securities regulatory and compliance attorney should seek out lawyers with proven experience and expertise in addressing any regulatory and compliance issues. The best securities regulatory and compliance lawyers for Tampa businesses act as partners. They are committed to the success of their client’s business and work diligently to address any weaknesses in their compliance efforts.

    A Tampa client searching for an experienced and trustworthy securities regulatory and compliance lawyer should ensure that the lawyer is open and transparent about the cost and payment options they accept for their legal services. Furthermore, a trustworthy and experienced compliance and regulatory attorney will be able to determine if the attorney-client relationship will be a good fit for both parties.

    Choosing Tampa Securities regulatory and compliance Lawyers for Highly Regulated Industries

    The finance and securities industries are the most regulated sectors of the economy. Governing bodies such as the SEC, FINRA, the state of Florida hold firms accountable for failing to comply with regulations. This is why it is vital for Tampa-based investment advisers, investment companies, and other professionals in the finance/securities industries to work with a reputable securities regulatory and compliance attorney.

    The securities regulatory and compliance lawyers of Jacko Law Group have worked with broker-dealers, registered investment advisors, investment companies, advisers to private funds, and other professionals in the finance sector, nationally and internationally. We are committed to safeguarding our clients’ best interest and ensuring that their businesses meet the regulatory standards of the state of Florida, and other regulatory agencies like the SEC and FINRA. We have the experience, knowledge, and resolve to protect our Tampa clients and counsel them toward a successful compliance program.

    If you are a Tampa firm in finance and securities and require legal help for your regulatory and compliance needs, please contact our experienced attorneys at 619.298.2880 for a consultation.

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    Interested in Hiring a Securities Regulatory and Compliance Law Firm for your Tampa Business?

    Get in touch with one of our experienced Securities Regulatory and Compliance lawyers today by filling out the form below or, if you prefer, by calling or emailing us today.

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      Tampa Securities Regulatory and Compliance Lawyers
      Frequently Asked Questions (FAQs)

      Attorneys experienced in securities regulatory and compliance law work with firms in the finance and securities sectors, providing legal services that help businesses thrive while following the rules and regulations of their industry. Regulatory attorneys understand the laws and regulations in this sector and are vital to keeping businesses in compliance.

      The securities regulatory and compliance lawyers at Jacko Law Group offer many regulatory services including legal counsel during investigations and representation during enforcement actions by agencies such as SEC, FINRA and others.

      There are several highly regulated sectors of the economy, with governing bodies who ensure that professionals, and companies within those industries uphold the regulations put forth. The finance and securities industries are among the most regulated in the country and several governing bodies enforce securities regulations to ensure investment advisers, investment companies, broker-dealers and others adhere to the rules.

      The US Securities and Exchange Commission (SEC) oversees professionals involved in the finance and securities industries to ensure that investors are protected. SEC compliance is the administration of SEC regulations over participants in those sectors.

      Regulatory compliance is the process by which investment advisers, investment companies and others in finance and securities adhere to regulations put forth by governing bodies such as the SEC, FINRA and states.

      The Jacko Law Group securities regulatory and compliance lawyers work with Tampa-based firms in the financial sector including broker-dealers, investment companies, investment advisors and public funds advisories.

      Our law firm understands that each client’s needs are unique, and we base our payment structure on the complexity of the legal services provided.

      We are the leading securities regulatory and compliance law firm serving professionals in the financial and securities industries. Our attorneys are well-known and respected within the compliance law industry and have decades of experience helping clients like you.

      We offer regulatory and compliance legal services to finance and securities firms that operate nationally and internationally, adhering to the laws in those jurisdictions.

      If you are interested in learning more about our securities regulatory and compliance legal services, please contact us at 619.298.2880 to speak with one of our attorneys.