2014 SEC Enforcement Cases – A Year In Review
The Legal Tip for Jacko Law Group titled 2014 Sec Enforcement Cases – A Year In Review was written in November, 2014.… 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
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
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 role of a transfer agent is a unique – and powerful – position in the securities industry. Transfer agents are used by publicly traded companies and other issuers “to keep track of individuals and entities owning stocks and bonds…
The question “how are private equity firms doing?” was asked back in 2012 by the Securities and Exchange Commission’s (“SEC’s”) Office of Compliance Inspections and Examinations (“OCIE”), in response to the growth of this industry. In October 2012, OCIE launched…
In a recent interview with Drew Bowden, the Director of the Securities and Exchange Commission’s (SEC’s) Office of Compliance Inspections and Examinations (OCIE), he spoke to the mission, role and complications associated with operating the examination branch of the SEC…
Michelle L. Jacko wrote a Legal Tip for Jacko Law Group titled Gabelli V. Sec – Us Supreme Court Decision Defines Sec Enforcement Time Table in February, 2014.… Read More
The Legal Tip for Jacko Law Group titled 2013 Sec Enforcement Cases – A Year In Review was written in December, 2013.… Read More
In 2012, states expanded their oversight of registered investment advisers (“RIAs”) from those with $25 million in assets, to those with $100 million or less. Prior to 2012, the Securities and Exchange Commission (“SEC”) had been responsible for overseeing these…
Michelle L. Jacko wrote a Legal Tip for Jacko Law Group titled Recent Social Media Developments in July, 2013.… Read More