Expert Witness Services
With offices in San Diego, Los Angeles and San Francisco, Jacko Law Group, PC provides expert witness services across California and nationwide. Our attorneys combine in-depth knowledge of the securities and investment industries with well-honed presentation skills. Their credibility and knowledge are essential assets in high-stakes litigation and arbitration.
Meet Our Experts
BROKER-DEALER EXPERT- DAVID M. SOBEL, FINRA SPECIALIST
David M. Sobel plays a key role in cases related to FINRA compliance examinations and investigations. He has extensive experience in securities litigation and alternative dispute resolution, broker-dealer compliance issues, and enforcement cases at the New York Stock Exchange (NYSE), AMEX, Securities and Exchange Commission (SEC) and FINRA.
His career experience includes:
- FINRA arbitrator and Enforcement Hearing Panelist
- Former chairman of the FINRA Small Firm Advisory Board
- Two term FINRA District 10 Committee Member
- Executive vice president, general counsel and chief compliance officer at Abel/Noser Corp, a FINRA/NYSE member broker-dealer for 10 years
- Floor broker at the New York Stock Exchange for nearly a decade
- President of his own NYSE member firm, Ampro Securities, Inc
- Senior equity trader/market maker for Trimark Securities
- Former chairman of the National Association of Independent Broker-Dealers (NAIBD)
- Former board member of the National Society of Compliance Professionals (NSCP)
- Featured in professional publications such as Compliance Reporter, Traders Magazine, Dow Jones Newswire and Institutional Investor News
- Speaker at national industry conferences, including those by FINRA, NSCP, NAIBD, the Strategy Institute and the National Regulatory Services (NRS)
- Author of "Your Relationship with FINRA," a chapter featured in the publication Modern Compliance Best Practices for Securities & Finance and Editorial Advisory Board member of the same.
INVESTMENT ADVISER EXPERT - MICHELLE L. JACKO, MANAGING PARTNER
Michelle L. Jacko is the Managing Partner and CEO of Jacko Law Group PC. She also is the CEO and founder of Core Compliance & Legal Services Inc., a compliance consultation firm. Ms. Jacko has extensive in-house and industry experience in forming investment advisory firms, developing, surveying and testing compliance programs, regulatory examinations, drafting contracts, breakaway transitions and mergers. She has served as an expert in the areas involving Regulation S-P, performance advertising, and securities, and actively presents on topics involving cybersecurity compliance for financial institutions, managing risks, fiduciary and disclosure obligations and SEC examinations.
Her career experience includes:
- Serving as Vice President of Compliance and Branch Manager of the Home Office Supervision team at LPL Financial
- Serving as Legal Counsel of Investments and Chief Compliance Officer at First American Trust, FSB
- Serving as Compliance Manager at Nicholas-Applegate Capital Management
- Working as Compliance Officer for PIM Financial Services, Inc.
- Speaking at conferences across the U.S. on topics pertaining to investment advisers
- Contributing to notable industry journals on an array of investment-related legal topics
- Serving on the editorial advisory board for the Wolters Kluwer publication "Practical Compliance and Risk Management for the Securities Industry"
- Acting as Vice Chair of Education and Member of the Corporations Committee of the Business Law Section of the State Bar of California
- Serving as former Advisory Board Co-Chair and Member of the Business & Corporate Law Section of the San Diego County Bar Association
- Two-time former board member of the National Society of Compliance Professionals (NSCP)
- Achieving the Certified Securities Compliance Professional (CSCP) designation by the NSCP
- Serving as a Financial Industry Regulatory Authority (FINRA) arbitrator
For more information about our expert witness services or our lawyers, call Jacko Law Group PC at 619.298.2880 or contact us online.