Michelle Jacko to Speak for 2023 Investment Adviser Compliance Conference
March 12-14, 2023 | Investment Adviser Compliance Conference | Speaker: Michelle L. Jacko, Managing Partner
Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Legal Risk Management Tips
Meeting Current & Future Challenges of Serving Aging Clients
This month’s Risk Management Tip will focus on guidance from our Managing Partner, Michelle Jacko, who discusses the evolution of regulatory considerations for serving senior investors.… Read More
NSCP Webinar | Forward Thinking: Senior Investor Protections, Regulatory Considerations and Best Practices
Michelle L. Jacko will present on Forward Thinking: Senior Investor Protections, Regulatory Considerations and Best Practices for NSCP’s Webinar on September 17, 2020.… Read More
FINRA’s Senior Help Line: Celebrating 5 Years of Providing Protection
On April 30, 2020, the Financial Industry Regulatory Authority (“FINRA”) celebrated the fifth anniversary of its Senior Help Line (the “Help Line”). The Help Line is a critical tool in FINRA’s initiative to combat financial exploitation of seniors and other vulnerable populations.
Investment Advisers, Elder Financial Abuse and the Senior$afe Act
Michelle L. Jacko presented on Investment Advisers, Elder Financial Abuse and the Senior$afe Act at the Investment Adviser Association (IAA) Webinar Series on August 23, 2018.… Read More
Handling Aging Client Issues
David Sobel presented on Handling Aging Client Issues at the Investment Advisor (IA) Compliance Meeting on November 2, 2017 in Los Angeles, CA.… Read More
Considerations for Advisers with Aging Clients
Michelle L. Jacko presented on Considerations for Advisers with Aging Clients at the IAA Investment Adviser Compliance Conference on March 2-3, 2017 in Washington, D.C.… Read More
Aging Clients and the Investment Advisory Practice
Michelle L. Jacko presented on Aging Clients and the Investment Advisory Practice at the Investment Adviser Association (IAA) Webinar on January, 28, 2016.… Read More
Adviser Issues in the Institutional and Retirement Marketplace
Michelle L. Jacko presented on Adviser Issues in the Institutional and Retirement Marketplaceat the NRS Twenty-fourth Annual Investment Adviser and Broker-Dealer Compliance Conference on November 3-6, 2009 in Las Vegas, NV.… Read More
The Latest Ponzi Scheme Targeting Elderly Investors: SEC Charges “The Money Doctor”
In yet another case of fraud targeting senior investors, the Securities and Exchange Commission (SEC) has charged William Neil “Doc” Gallagher, a Texas-based man touting himself as “the Money Doctor,” in an emergency action to halt a sizeable Ponzi…