SEC Examination Priorities In 2016: How They May Impact Your Compliance Program
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 wrote a Legal Tip for Jacko Law Group titled How They May Impact Your Compliance Program in February, 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 2015 Sec Enforcement Cases: A Year In Review was written in December, 2015.… Read More
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled Beware The Pitfalls Of Using Finders in December, 2014.… Read More
The Securities and Exchange Commission (SEC) today released an order instituting administrative and cease-and-desist proceedings against an investment advisory firm and three top officials for violating the custody rule that requires firms to follow certain procedures when they control…
The Legal Tip for Jacko Law Group titled 2014 Sec Enforcement Cases – A Year In Review was written in November, 2014.… Read More
Lincolnshire Management, Inc. (“LMI”) has reached a settlement agreement with the Securities and Exchange Commission (“SEC”) for sharing expenses between two companies’ portfolios in a manner that improperly benefited one fund over the other. This settles charges that the…
Attorneys for Samuel E. Wyly (“Sam Wyly”) and his late brother Charles J. Wyly (“Charles Wyly”) (jointly, the “Wylys”) presented arguments to a U.S. District Judge disputing the amount the Wylys are being ordered to pay for their role in…
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…
The Securities and Exchange Commission (“SEC”) has brought its first case against a private equity firm for pay-to-play violations involving political campaign contributions to the governor of Pennsylvania and the candidate for Mayor of Philadelphia. The SEC also found that…