What You Need To Know About Expungement
David Sobel wrote a Legal Tip for Jacko Law Group titled What You Need To Know About Expungement in April, 2017.… Read More
David Sobel wrote a Legal Tip for Jacko Law Group titled What You Need To Know About Expungement in April, 2017.… Read More
Robo-advisers are registered financial advisers who use mathematical rules or computer algorithms to provide financial advice or portfolio management online. This recent trend, which requires very little human interaction, has the potential to impact the competitive landscape in the…
After six years of planning and intense effort, which included solicitations of input from the industry and investor advocates, the Department of Labor’s (“DOL”) Conflicts of Interest rule was released in April 2016 (the “Final Rule”). Among other things, the…
The Legal Tip for Jacko Law Group titled What RIAs Should Focus On In 2017: Regulatory Hot Topics – Mar. 2017 #2 in was written March, 2017.… Read More
On February 2, 2017, the SEC charged Sentinel Growth Fund Management, a Connecticut-based investment advisory business, and its owner with stealing investor money to settle a private lawsuit among other expenditures….
The number of advisers considering breaking away from a traditional broker-dealer business model is on the rise. According to the latest research from Echelon partners, last year alone, more than 400 teams broke away from their broker-dealers to go…
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled Fleischer v. Commissioner – What Does it Mean for Businesses? in February, 2017.… Read More
Earlier this month, John Rafal, former president and CEO of Essex Financial Services, Inc., admitted wrongdoing and agreed to pay more than $575,000 in settlement charges. According to the SEC, the Connecticut-based investment adviser defrauded a client, attempted to…
Michelle L. Jacko wrote a Legal Tip for Jacko Law Group titled 2017 SEC Examinations Focus Areas in January, 2017.… Read More
As part of FINRA’s ongoing efforts to crackdown on cybersecurity failures, the brokerage industry’s self-regulatory organization issued $14.4 million in fines to a dozen firms – including companies in the Wells Fargo & Co. and RBC Capital networks, RBS Securities Inc.,…