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It’s easy to be alarmed after being contacted by the SEC, FINRA or State regulators - but by aligning with the right counsel, peace of mind isn’t far away.

The team at Jacko Law Group, PC ("JLG") can serve as an effective extension of your team for firm-wide regulatory quick-responses, from document production to urgent preparations for upcoming staff interviews and communication with the examiners.

Regulatory Examinations - A Multi-Phase Approach

To prepare, it is integral that firms align across all aspects of business, including the compliance, operations, advisers, and administration - to manage expectations of the examination. Get the rapid inquiry response expertise or enforcement counsel you need by requesting an immediate consultation today. We’ll navigate you through it all.

Contact from Regulatory Agency (SEC/FINRA/State)

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  • Initial planning counsel
  • Internal Logistic alignment

Initial Document Request

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  • Review and collection of documents
  • Organization and Planning
  • Counsel regarding areas of focus and recent risk alerts

2nd Document Request

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  • Guidance on current protocols, based on agency’s request
  • Custom concentration on focus areas, documentation, and procedures
  • Counsel on regulatory response to additional inquiries

Mock Examination Preparation

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  • Review of Document
  • Mock Interviews with Key Personnel
  • Additional Document Request
  • JLG Mock Examination Findings Report

Regulatory Agency Examination

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  • Firm Welcome Presentation
  • Staff Interviews
  • Additional Document Request
  • Liaison & Staff Interaction (Additional Document Request)

Regulatory Findings Response

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  • Deficiency Letters
  • Wells Notice
  • Additional Document Request
  • Administrative Proceedings

Quick Response Team Services

Providing examiners with timely and accurate information is essential. Our experienced securities attorneys, who previously served as Chief Compliance Officers and/or in-house counsel at financial institutions, offer a Quick Response Team (QRT) service. By understanding the inner workings of your firm’s operations to assess how the laws and regulations apply to your business model and firm protocols, our attorneys can promptly respond to a number of regulatory exam requests, formal inquiries and allegations on state, SRO and federal levels involving:

  • Fiduciary duties
  • Compliance Program requirements
  • Adequacy of disclosures

Effective Enforcement Counsel

Our team’s experience in regulatory compliance counsel and enforcement will provide you with actionable advice in a timely and cost-effective manner. In all phases of the enforcement process, our lawyers provide time-sensitive services for firms, broker-dealers, and advisers:

  • Formal Inquiry Responses
  • Negotiation of Settlements
  • Response to Wells Notices
  • Administrative Proceedings

“Jacko Law Group is a valued business partner of our organization providing expert advice and practical guidance within our industry - professional counsel that we can depend on.”

Christopher Mercado
The Financial Services Network

Securities Emergencies Call for Counsel

The attorneys at Jacko Law Group, PC ("JLG") are here to fill your urgent legal needs as they relate to financial and securities proceedings. We’ll help you promptly respond to regulatory inquiries, or fight for you in court if enforcement arises. Call us today to get things back on track.

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