Form U5: Reporting And Beyond
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled Form U5: Reporting And Beyond in March, 2015.… Read More
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled Form U5: Reporting And Beyond in March, 2015.… Read More
Jacko Law Group, PC (“JLG”) published its monthly Legal Tip, written this January. JLG’s Legal Tip provides an overview of some of the new corporate laws affecting businesses. While this article is geared towards California…
Four individuals have been charged with insider trading by the Securities and Exchange Commission (“SEC”) in an alleged scheme involving two Silicon Valley-based companies. Christian B. Keller (“Keller”), a financial analyst employed by Applied Materials, Inc. and later Rovi…
The Securities and Exchange Commission has charged broker-dealer Oppenheimer & Co. (“Oppenheimer”) with two courses of misconduct relating to its customer, Gibraltar Global Securities (“Gibraltar”). Oppenheimer has admitted to the wrongdoing which resulted in a $10 million fine. Oppenhiemer…
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled Series LLCs: Possibilities And Pitfalls in February, 2015.… Read More
The Securities and Exchange Commission (“SEC”) has approved The Financial Industry Regulatory Authority, Inc.’s (“FINRA”) proposed Rule 3110 (e). The rule was proposed last September and will go into effect July 1st, 2015. It will require broker-dealers to perform…
When a registered investment adviser representative breaks away to form a new company or to work for a new employer, several issues may arise. The type of access the representative has to client lists and information should be considered. …
Michelle L. Jacko wrote the article titled Advisors: How to Prepare for the 2015 U.S. Regulatory Environment which was published in the Thomson Reuters Accelus newsletter on January 12, 2015. … Read More
In a case that exemplifies the importance of proper registration prior to initiating operations, HSBC’s Private Bank (“HSBC”) settled the Security and Exchange Commission’s (“SEC”) charges for failing to register before providing cross-border brokerage and investment advisory services to…
The Legal Tip for Jacko Law Group titled California 2015 Outlook: New Laws That May Affect Your Business was written in January, 2015.… Read More