Jacko Law Group P.C. (“JLG”) wrote an article titled The Dangers of Recidivism and the SEC’s Compliance Initiative which was published in the Thomson Reuters Accelus newsletter on March 30, 2015. … Read More
Michelle L. Jacko wrote the article titled Advisors: How to Prepare for the 2015 U.S. Regulatory Environment which was published in the Thomson Reuters Accelus newsletter on January 12, 2015. … 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
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…
Michelle L. Jacko wrote the article titled Practical Tips for Preparing for Your Next Regulatory Examination which was published in the Thomson Reuters Accelus’ September 23, 2014 issue. … Read More
The Securities and Exchange Commission (“SEC”) has charged a Houston-based advisory firm with fraud for failing to disclose conflicts of interest to investors. Robare Group Ltd. (“Robare”) had a compensation arrangement in place with the unnamed brokerage firm who was…
Michelle L. Jacko wrote the article titled Listen Up CEOs: Top Things Your CCO Wants You to Know which was published by Wolters Kluwer in the September/October 2014 newsletter.… Read More
The Legal Tip for Jacko Law Group titled The Distinctions Between Sub-advisory And Third-party Asset Manager Arrangements was written in August, 2014.… Read More
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…