Broker-Dealers, It’s Time To Review Your Written Supervisory Procedures
David Sobel wrote a Legal Tip for Jacko Law Group titled Broker-dealers, It’s Time To Review Your Written Supervisory Procedures in November, 2016.… Read More
FINRA Annual Conference – Part 2
Having a firm culture that puts client interests first is the basis of the fiduciary duty. Any BD that believes that all they have is a suitability requirement is living in La La land. Almost all arbitration claims against…
CCO Liability: What You Need To Know
David Sobel wrote a Legal Tip for Jacko Law Group titled CCO Liability: What You Need To Know in June, 2016.… Read More
FINRA Annual Conference – Part 1
Last week FINRA held its annual Broker Dealer conference in Washington DC. It was one of the largest they ever had: 1300 attendees and completely sold out. What this usually means is that the BD community is scared and…
Regulatory Considerations For Servicing Aging Clients
Michelle L. Jacko wrote a Legal Tip for Jacko Law Group titled Regulatory-Considerations-For-Servicing-Aging-Clients in May, 2016.… Read More
Considerations For Advisors Within The Hybrid Model
The Legal Tip for Jacko Law Group titled Considerations For Advisors Within The Hybrid Model was written in August, 2015.… Read More
Aegis Capital Fined $950,000 by FINRA
According to a Financial Industry Regulatory Authority (“FINRA”) complaint, Aegis Capital Corp. (“Aegis”), a New York-based retail and institutional broker-dealer, was found to have committed securities-related misconduct during its time as a FINRA member. FINRA has charged Aegis with…
FINRA Issues Revisions to Sanction Guidelines
This May the Financial Industry Regulatory Authority (“FINRA”) made revisions to its Sanction Guidelines pertaining to misrepresentations and suitability. The Sanction Guidelines were developed for FINRA by The National Adjudicatory Council (“NAC”) to assist Hearing Panels and the NAC…
The Current Landscape of Anti-Money Laundering
Jacko Law Group P.C. (“JLG”) wrote the article titled The Current Landscape of Anti-Money Laundering which was published in the National Society of Compliance Professionals (NSCP) Currents’ April, 2015 publication. … Read More
Form U5: Reporting And Beyond
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled Form U5: Reporting And Beyond in March, 2015.… Read More