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It’s easy to panic after receiving a call from FINRA or the SEC - but by aligning with the right counsel, peace of mind isn’t far away. The team at Jacko Law Group, PC ("JLG") can serve as an effective extension of your team for firm-wide emergencies and regulatory quick-response, from document production to urgent preparations for upcoming staff interviews and communication with the examiners.

Regulatory Examinations - A Multi-Phase Approach

We’ll navigate you through it all. Get the rapid inquiry response expertise or enforcement counsel you need by requesting an immediate consultation today.

Rapid Inquiry Response

We promptly respond to a number of regulatory inquiries and allegations on state and federal levels, including but not limited to:

  • Breach of fiduciary duty
  • Negligent misrepresentation
  • Unauthorized & Insider trading

Effective Enforcement Counsel

In the worst-case scenario of enforcement, our lawyers provide time-sensitive services for firms, broker-dealers, and advisers:

  • Wells Notices
  • Negotiating Settlements
  • Administrative Proceedings

Rapid Inquiry Response

We promptly respond to a number of regulatory inquiries and allegations on state and federal levels, including but not limited to:

  • Breach of fiduciary duty
  • Negligent misrepresentation
  • Unauthorized & Insider trading

Effective Enforcement Counsel

In the worst-case scenario of enforcement, our lawyers provide time-sensitive services for firms, broker-dealers, and advisers:

  • Wells Notices
  • Negotiating Settlements
  • Administrative Proceedings

“Jacko Law Group is a valued business partner of our organization providing expert advice and practical guidance within our industry - professional counsel that we can depend on.”

Christopher Mercado
The Financial Services Network

Securities Emergencies Call for Counsel

The attorneys at Jacko Law Group, PC ("JLG") are here to fill your urgent legal needs as they relate to financial and securities proceedings. We’ll help you promptly respond to regulatory inquiries, or fight for you in court if enforcement arises. Call us today to get things back on track.

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619-298-2880