Common Compliance Violations Seen in 2018
Michelle L. Jacko wrote a Legal Tip for Jacko Law Group titled Common Compliance Violations Seen in 2018 in September, 2018.… Read More
Michelle L. Jacko wrote a Legal Tip for Jacko Law Group titled Common Compliance Violations Seen in 2018 in September, 2018.… Read More
One area that continues to be a primary focus for the U.S. Securities and Exchange Commission (“SEC”) in recent years is the private equity segment of the financial marketplace. As a continuing trend, the SEC’s 2017 Examination Priorities clearly focused on private fund topics and practices.… Read More
Early in October, at the National Association of Municipal Advisors Conference, two attorneys with the Office of Compliance Inspections and Examinations (“OCIE”) told the municipal advisors in attendance that many need to work on improving compliance procedures. To ensure…
David Sobel wrote a Legal Tip for Jacko Law Group titled CCO Liability: What You Need To Know in June, 2016.… Read More
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled Private Equity – 2015 Enforcement Summary And What To Expect In 2016 in January, 2016.… Read More
The Legal Tip for Jacko Law Group titled Considerations For Advisors Within The Hybrid Model was written in August, 2015.… Read More
The Financial Industry Regulatory Authority (“FINRA”) has filed a complaint through its Department of Market Regulation and Department of Enforcement against Los Angeles-Based brokerage firm, Wedbush Securities (“Wedbush”). The complaint charges Wedbush with systemic supervisory and anti-money laundering (“AML”) violations…
Peter A. Jenson (“Jenson”), the former Chief Operations Officer of Harbinger Capital Partners, LLC (“Harbinger”), has agreed to settle fraud charges with the Securities and Exchange Commission (“SEC”) for aiding Harbinger’s owner, Phillip A. Falcone (“Falcone”), in the misappropriation of…
This July marks the fourth year since the passage of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”). With the anniversary comes much debate surrounding the effects of the legislation and whether increased regulatory oversight is necessary. A…
The Securities and Exchange Commission (“SEC”) has filed fraud charges in the U.S. District Court for the Northern District of Illinois against the City of Harvey, Illinois and its comptroller, Joseph Letke (“Letke”). The City of Harvey has been accused…