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Alan Markfeld profile picture
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 profile picture
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 profile picture
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 profile picture
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 profile picture
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 profile picture
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 profile picture
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!

Regulatory Examinations & Enforcement Counsel

Business woman giving presentation on laptop to team

Regulatory Exam Preparations

When regulatory agencies such as the SEC, FINRA or the states come knocking, will your firm be ready to respond to their interview questions and lengthy document requests or demonstrate the firm’s culture of compliance through your risk assessment process?

Your firm’s demonstration of compliance with regulatory requirements is at the forefront of every regulatory examination. Investing the time and resources needed to answer these questions will help with the long-term preparation required for regulatory exams.

Our team provides guidance to ensure your firm is fully prepared for any regulation examination, reducing risk and enhancing your compliance posture.

Jacko Law Group, PC (“JLG”) provides customized personal attention to prepare all of our clients for their regulatory exam.

Mock Exams

At JLG, we help broker-dealers, investment advisers, hedge funds, investment companies, and private equity firms assess their readiness for regulatory examination. We conduct mock exams on a periodic basis. To begin the process, we will provide you with the latest regulatory exam initial document request list, perform in-person interviews, and assess internal systems and controls. At the conclusion of the regulatory mock examination process, we will provide our findings to your senior management team, which includes a list of recommended actions to advance compliance program efforts.

In addition, our regulatory enforcement lawyers represent clients during formal regulatory inquiries and enforcement matters, providing expert guidance and defense.

In addition, we represent clients during formal regulatory inquiries and enforcement matters.

Regulatory Enforcement Counsel

Is your AML program functioning as intended? Can your Business Continuity Plan (BCP) support your operations in the face of disruption? Are your investor privacy policies aligned with current regulatory expectations?

Don’t wait for a deficiency notice from the SEC or FINRA to uncover compliance gaps.

At JLG, we provide proactive regulatory exam support and compliance counsel to investment advisers, broker-dealers, and financial services firms across the U.S. Whether preparing for an SEC or FINRA regulation examination or responding to formal inquiries, our experienced team helps mitigate risk and strengthen your firm’s regulatory posture.

As part of our AML compliance services, we conduct mock exams, annual audits, and in-depth compliance program reviews—all tailored to your business needs.

Our Services include:

Anti-Money Laundering (AML) Program Support

  • Development and enhancement of AML policies and procedures
  • Independent annual AML audits for broker-dealers
  • On-site AML testing at main and branch office locations
  • Compliance gap analysis and remediation strategies
  • Response planning for regulation examination and enforcement actions

Business Continuity Planning (BCP)

  • Creation of customized BCPs addressing business operations, disaster recovery, and succession planning
  • Required annual BCP audits for investment advisers and broker-dealers
  • Practical recommendations to ensure your plan meets both regulatory standards and real-world demands

Regulation S-P & Data Privacy Compliance

  • Implementation of information security programs to safeguard client data
  • Assessment and revision of privacy policies to align with evolving regulations
  • Ongoing support for maintaining the confidentiality and integrity of customer information
  • Jacko Law Group is here to assist you with regulatory exam preparation and enforcement counsel services.

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