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Identifying and Addressing FINRA Client Complaints
As a broker-dealer, registered investment adviser (RIA), or investment adviser representative (IAR), dealing with customer complaints is inevitable. Some grievances stem from dissatisfaction with market performance or operational delays, while others involve more serious allegations that require regulatory reporting. Understanding which complaints are reportable to FINRA and how to handle them is critical to ensuring compliance and mitigating risks.
Partnership Disputes: Business Disputes – Mitigate, Mediate, and Safeguard
Partnership disputes are among the most complex yet common issues that arise in business. In this ongoing series, Business Disputes: Mitigate, Mediate, and Safeguard, Corporate and Securities Litigation attorney Dharmi Mehta discusses how to prevent and protect against partnership disputes.
Michelle Jacko Included in 2025 San Diego Super Lawyers Guide
Ms. Jacko is the founding partner of Jacko Law Group, PC a San Diego-based Corporate and Securities law firm. Jacko Law Group is a transactional and litigation law firm that provides legal and regulatory compliance counsel to investment firms and advisers, broker-dealers, private wealth advisers and others in the financial services industry. Ms. […]
Essential Considerations for Valuing a Business Before Acquisition
Buying a business is a considerable endeavor, so it’s worth enlisting the guidance of a business valuation expert to protect your best interests. Learn more about what steps you can take to ensure that you are making informed decisions with confidence.