Attorney Jeremiah Baba Pagano was quoted in a Barron’s Adviser blog post titled “6 Missteps that Trip Up Brokers Who Leave Big Wall Street Firms,” on August 17, 2022. Within the post, Jeremiah explains how tax implications are often an afterthought … Read More
Establishing the talent to manage the steady increase of clients and employee turnover from COVID-related changes has created a trending issue for any industry. But the demand of the job market often underscores the value of a comprehensive employee contract … Read More
One common misconception about responding to the U.S. Securities and Exchange Commission’s (“SEC’s”) initial request for documents as part of an examination or routine sweep is that the document production phase has ended. On occasion, it has basically just begun. … Read More
One of the more frequently asked questions our team at Jacko Law Group, PC (“JLG”) answers is whether to (and how to) respond when contacted by the state or federal securities regulators, including the U.S. Securities and Exchange Commission (“SEC”).
You have successfully formed your investment advisory firm and your business is up and running. Now you want to ensure that your firm remains in compliance with the SEC, FINRA and state regulators so that, in the event a regulatory agency DOES come knocking, you are ready to handle the examination.
Investment advisers should promptly review language used in mandated pre-dispute arbitration agreements in response to Regulatory Notice 21-16 recently issued by the Financial Industry Regulatory Authority (FINRA). The Notice serves as a cautionary yellow light for firms that may be inclined to limit investor protections by improperly including adviser-friendly terms that ignore specific FINRA disclosure requirements.