Proper disclosure of the costs of investing, including disclosure of all fees and their potential effects on the value of investments, is critical for all firms. However, despite a focus, for years now, on this issue by the SEC, FINRA…
David Sobel wrote a Legal Tip for Jacko Law Group titled What You Need To Know About Expungement in April, 2017.… Read More
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled Back To Basics – Private Equity Compliance – Beyond Fee And Expense Practices in October, 2016.… Read More
On May 6th, SEC Commissioner Kara M. Stein gave a speech in Denver, Colorado entitled Disclosure in the Digital Age: Time for a New Revolution at the 48th Annual Rocky Mountain Securities Conference. The speech discussed the importance of…
Michelle L. Jacko wrote a Legal Tip for Jacko Law Group titled How They May Impact Your Compliance Program in February, 2016.… Read More
Michelle L. Jacko and Tina Mitchell wrote the article titled Editorial Advisors Corner: Risk Management Update April 2015 – Regulatory Pitfalls Regarding Fee Based Accounts which was published in the Wolters Kluwer Newsletter in July/August, 2015. … Read More
Last September, Houston-based Investment Advisory Firm, Robare Group Ltd. (“Robare”), was charged with violating Sections 206(1), 206(2) and 207 of the Investment Advisers Act of 1940 by the Securities and Exchange Commission (“SEC”). The SEC’s enforcement division discovered an…
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled Form U5: Reporting And Beyond in March, 2015.… Read More
The Legal Tip for Jacko Law Group titled 2014 Sec Enforcement Cases – A Year In Review was written in November, 2014.… Read More
The Securities Exchange Commission (“SEC”) has recently charged Strategic Capital, LLC (“Strategic Capital”) an independent advisory firm in the state of Washington, for violating rules 203(e) and 203(k) the Investment Advisers Act of 1940,(“Advisors Act”). Strategic Capital distributed “false…