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In this months’ Jacko Law Group, PC (“JLG”) Risk Management Tip, we will explore the most recent cases involving CCO liability. Specifically, we will consider those issues which caught the SEC’s and FINRA’s attention and discuss recent SEC guidance on how to mitigate the CCO’s liability if management’s decisions do not align with the CCO’s guidance. We will also consider the National Society of Compliance Professional’s (“NSCP”) Framework for CCO liability.… Read More

Locations San DiegoHQ 1350 Columbia St Unit 300 San Diego, CA 92101 JLGattorneys@jackolg.com T: (619) 648-2280 T: (855) 918-0938 F: (619) 298-2882 View Services Dallas, Texas View Services San Francisco, California View Services Tampa, Florida View Services Chicago, Illinois View … Read More

Business Lawyers in San Diego At Jacko Law Group, the success of your San Diego-based business is our top priority. We are committed to understanding your business needs, providing personalized solutions, and helping you navigate potential legal issues. Whether you … Read More

Amanda Sobel, Esq. LL.M, CEPA   Paralegal

Locations San DiegoHQ 1350 Columbia St Unit 300 San Diego, CA 92101 jlgattorneys@jackolg.com T: (619) 648-2283 T: (855) 918-0938 F: (619) 298-2882 View Services Dallas, Texas View Services San Francisco, California View Services Tampa, Florida View Services

March 21, 2023 | NSCP Educational Seminar | Speaker: Michelle L. Jacko, Managing Partner We are excited to announce that Managing Partner Michelle L. Jacko will be speaking at NSCP’s Educational Seminar on March 21, 2023. Michelle will present on, … Read More

As we and the rest of the industry awaits the U.S. Securities and Exchange Commission’s (“SEC”) annual examination priorities in the first quarter of 2023, firms contemplate the transformations and evolution of their business strategies for 2023 –asking “What do we need to be thinking about?” and “What needs to change?”.
Throughout 2022 the SEC’s Division of Examinations (“EXAMS”) routinely provided guidance and insight to important areas through their issued Risk Alerts.… Read More

April 23-26, 2023 | 2023 Red Oak User Conference | Speaker: Michelle L. Jacko, Managing Partner We are excited to announce that Managing Partner Michelle L. Jacko will be the Keynote speaker for the 2023 Red Oak User Conference from April 23-26, 2023. … Read More

March 12-14, 2023 | Investment Adviser Compliance Conference | Speaker: Michelle L. Jacko, Managing Partner

Managing Partner Michelle L. Jacko‘s article, “Legal and Regulatory Considerations for Going Independent,” has been published as an industry white paper in conjunction with Charles Schwab & Co., Inc.… Read More