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Alan Markfeld
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Dharmi is an excellent securities lawyer who understands the law as it pertains to these cases. She is extremely proactive and represents her clients well. I highly recommend Jacko and Dharmi.
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Danielle Martin profile picture
Danielle Martin
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I’ve had the privilege of working closely with this firm in my role as Chief Compliance Officer and I can confidently say they are an exceptional compliance partner. Their depth of experience is immediately evidentand they bring a level of practical knowledge. What I truly enjoy is their ability to translate complex regulatory requirements into plain English, often using real, everyday examples that make implementation far more manageable. They are also incredibly responsive and reliable. In a field where timing matters, their prompt communication and thoughtful guidance have been invaluable. If you’re looking for a compliance attorney who combines expertise, clarity, and professionalism, I highly recommend them.
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Curt Rocca
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Michelle and the team at Jacko Law Group have helped guide through a variety of critical circumstances as we ventured through the uncharted and unfamiliar territory of becoming and successfully operating as an RIA. I have particularly appreciated Michelle's personal involvement and genuine caring about us and our organization. She has been responsive and her counsel has been consistently on-point and helpful. She artfully guided us through our initial filing process and first SEC exam process - which went very well. Very grateful to Michelle and her team.
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Nicholas Di Paolo
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Michelle and her team were excellent to work with, front to back. They helped me to understand the challenges ahead and were always proactive in their consultation through every step of my transition. JLG truly know the wealth management industry very well and did a great job of understanding the challenges unique to my business. Without them, I can confidently say I would not have felt as comfortable through the transition as I did. Fortunately, that's not something that stops there - Michelle and her team have kept in touch to ensure that I'm on top of certain administrative issues, trends, and simply showing me that they care about my business and success. I look forward to continuing to work with them for many years to come.
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Margery Neis
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Dharmi Mehta was extremely helpful when my business partner and I transitioned to a new RIA firm. She and her staff were all very professional. Her guidance during our transition was invaluable. I highly recommend Dharmi and Jacko Law Group.
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Joseph Burwell profile picture
Joseph Burwell
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Dharmi and Amandeep were a delight to work with. They assisted me with a claim and stuck with me the entire way through. Dharmi's advice was invaluable, and I was most impressed by her clear and professional communication. From beginning-to-end, both Dharmi and Amandeep kept me well informed. Their entire team are proud of their work and rightfully so. Thank you!
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Faruk Jaffer
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My mentor once told me that a good attorney is worth their weight in gold — and that couldn't be more true of Michelle and Amanda. Their expertise, professionalism, and responsiveness were top notch every step of the way. It's rare to find legal partners who are not only sharp and thorough, but also genuinely invested in your success. I’m grateful for their guidance and highly recommend them to anyone seeking trusted legal counsel.
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everistus etafo
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It is my great Privilege to share my Review of what Atty Dharmi Mehta of Jacko Law Group did for me and by extension for my family. From the first time complimentary conversation we had having spoken to several other Lawyers ,l knew she was the right person for the Job .Because of her background as a former RR ,she was professional,kind, Empathetic,listened and was focused on fighting for me. From a potential of been terminated with cause ,l was able to walk away with a clean U5 with a validation that l did nothing wrong except what was in the best Interest of my clients. I hope nobody ever has to go through what l have Experienced, but if you do ,you want Dharmi Mehta beside you .Rest assured your service Deserve 10 stars but this forum only allows 5. Me and my family are forever grateful and will make sure that any RR who needs an advocate will know about you . Everistus Etafo
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Karen Althaus
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I have worked with Jacko Law Group for 2 different business situations that necessitated an attorney. In both cases, the team was very thorough & competent. Their attention to our situation and the extra effort they put into our case(s) was very much appreciated. I would highly recommend Jacko Law Group!
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Enforcement Attorney to Lead SEC’s Los Angeles Exam Program

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The U.S. Securities and Exchange Commission “SEC”recently announced that Karol L.K. Pollock is now the new leader of the examination program in the Los Angeles Regional Office.Ms. Pollock has worked in the Los Angeles office for 10 years, where she most recently served as the Deputy Associate Director of the exam program, and prior to that as a staff attorney and a branch chief. According to the SEC press release, Pollock has “played a significant role in numerous SEC enforcement actions, including a 2008 case against five former San Diego city officials involved in inadequate municipal securities disclosures.  She also helped litigate a case against the former CEO and former CFO of Gemstar-TV Guide International for their roles in a widespread and complex scheme to inflate licensing and advertising revenues.”As the Associate Director, Pollock will oversee the exam program covering regulated firms in Southern California, Nevada, Arizona, Hawaii, and Guam.In the SEC press release, Andrew Bowden, Director of the SEC’s National Exam Program stated “Karol has demonstrated an unwavering commitment to protecting investors and our capital markets in a way that is fair, creative, and effective,” and “We are thrilled to recognize her accomplishments and promote her leadership in the National Exam Program.”During 2014 there was a major increase in the SEC’s enforcement actions, so Ms. Pollock’s 25 years of experience in securities enforcement and regulation appears to align with the SEC’s continued commitment to protect investors and capital markets. With this in mind, it is important that firms perform compliance reviews at least annually to test the adequacy and efficiency of their policies, procedures and internal controls in order to help identify and address compliance and business risks.To get an overview of the SEC’s 2014 enforcement cases, be sure to read JLG’s November Legal Tip, 2014 SEC Enforcement Cases- A Year in Review.For more information on this and other related subjects, please contact us at [email protected] or (619) 298-2880.

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Jacko Law Group provides tailored legal services and effective strategies for success, delivering exemplary solutions to complex legal and regulatory challenges to ensure that both business efforts and compliance obligations are satisfied.

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