Private Equity – 2015 Enforcement Summary And What To Expect In 2016
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled Private Equity – 2015 Enforcement Summary And What To Expect In 2016 in January, 2016.… Read More
2015 SEC Enforcement Cases: A Year In Review
The Legal Tip for Jacko Law Group titled 2015 Sec Enforcement Cases: A Year In Review was written in December, 2015.… Read More
SEC Transformation Review by Commissioner Aguilar
With barely over a week left on Commissioner Luis A. Aguilar’s tenure with the Securities and Exchange Commission (“SEC”), he summarized the changes he witnessed in the SEC during his seven years serving as Commissioner in his public statement…
The SEC and their Cybersecurity
The SEC’s challenges in implementing their own cybersecurity protocols could be similar to your firm. On December 16th, Commissioner Luis A. Aguilar of the Securities and Exchange Commission (“Commission”) released a public statement titled “Being a Responsible Steward: Ensuring…
JLG Legal Risk Management Tip – The Importance of Strategic Transition and Business Succession Planning
Considerations that Businesses Should Keep in Mind Prior to Implementing a Transition and Business Succession Plan…
FINRA Fines Five Firms for Failure to Waive Mutual Fund Charges
Five Broker-Dealers Ordered to Pay $18 Million in Restitution for Failing to Wave Class A Mutual Fund Share Charges…
Whistleblower Awarded $325,000 from the SEC
The Securities and Exchange Commission (“SEC”) paid out an award totaling more than $325,000 to a former employee of an investment firm for supplying them with information regarding fraudulent activities at his former firm including specific information regarding the individuals…
Considerations For Forming And Operating a California LLC: Part 2
The Legal Tip for Jacko Law Group titled Considerations For Forming And Operating a California LLC: Part 2 was written in November, 2015.… Read More
Considerations For Forming And Operating a California LLC: Part 1
The Legal Tip for Jacko Law Group titled Considerations For Forming And Operating a California LLC: Part 1 was written in October, 2015.… Read More
Massachusetts Registered Investment Adviser Charged with Fraud
Family Endowment Partners, L.P. (“FEP”), a Massachusetts registered investment adviser, and its owner Lee Dana Weiss (“Weiss”) have been accused of violating the antifraud provisions of the federal securities law and related Securities and Exchange Commission (“SEC”) antifraud rules. Furthermore,…