CCO Liability: What You Need To Know
David Sobel wrote a Legal Tip for Jacko Law Group titled CCO Liability: What You Need To Know in June, 2016.… Read More
David Sobel wrote a Legal Tip for Jacko Law Group titled CCO Liability: What You Need To Know in June, 2016.… Read More
Last week the SEC announced insider trading charges including pro-golfer Phil Mickelson. Mickelson agreed to pay back more than $1 million he earned from an insider stock tip from William “Billy” Walters, a famous sports gambler. As a result…
Last week FINRA held its annual Broker Dealer conference in Washington DC. It was one of the largest they ever had: 1300 attendees and completely sold out. What this usually means is that the BD community is scared and…
On May 6th, SEC Commissioner Kara M. Stein gave a speech in Denver, Colorado entitled Disclosure in the Digital Age: Time for a New Revolution at the 48th Annual Rocky Mountain Securities Conference. The speech discussed the importance of…
Michelle L. Jacko wrote a Legal Tip for Jacko Law Group titled Regulatory-Considerations-For-Servicing-Aging-Clients in May, 2016.… Read More
In the season finale the Chuck Rhoades, Wendy Rhoades, and Bobby Axelrod triangle fallout continues and leads to some major confrontations which could have been avoided had the rules been complied with. Spoilers Ahead…
This week’s episode focused a lot on personal lives and how they can impact professional lives. In one particular scenario, the ethical considerations of confidential information that can result from it are explored. Spoilers Ahead…
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled Breaking Away: Vital Considerations For The Transitioning Advisor in April, 2016.… Read More
Episode 10 leads up to a tough scenario for Axe as Principal of Axe Capital in the wake of his current personal and professional dramas. Spoilers Ahead…
In this episode, the ethical aspects of Axe’s capital raising tactics and trading antics really come into focus. Spoilers Ahead…