According to a Securities and Exchange Commission (“SEC”) complaint filed in Riverside County, California, Paul Ricky Mata (“Mata”), David Kayatta (“Kayatta”) and Mario Pincheira (“Pincheira”) are accused of violating the antifraud provisions of Section 17(a) of the Securities Act of…
The Legal Tip for Jacko Law Group titled Considerations For Advisors Within The Hybrid Model was written in August, 2015.… 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
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled Amended Regulation a: a “New” Financing Option in July, 2015.… Read More
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled The Importance Of Outsourced General Counsel in June, 2015.… Read More
Jacko Law Group, PC (“JLG”) published its monthly Legal Risk Management Tip (“Legal Tip”), written by Managing Partner & CEO, Michelle Jacko. Jacko’s Legal Tip discusses the May 20, 2015 Securities and Exchange Commission’s Release No. IA-4091 which proposes certain amendments to Form ADV in order…
Jacko Law Group, PC (“JLG”) published its monthly Legal Risk Management Tip (“Legal Tip”), this April. JLG’s Legal Tip discusses whether anti-money laundering (“AML”) regulations apply to investment advisers, duties owed by investment advisers, and potential regulatory…
Michelle L. Jacko wrote a Legal Tip for Jacko Law Group titled How The Proposed Amendments To Form Adv And Advisers Act Will Impact Investment Advisers in May, 2015.… Read More
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
The Legal Tip for Jacko Law Group titled Anti-money Laundering As Applied To Investment Advisers was written in April, 2015.… Read More