Preparing for and responding to regulatory exams by the SEC, FINRA or the state can be overwhelming. Jacko Law Group, PC (“JLG”) has established a Quick Response Team (QRT) that has extensive experience in handling regulatory examinations and can assist you with:
Response to inquiries from the SEC, FINRA, or other regulatory bodies must be prompt, carefully considered, and accurate in addressing each issue or deficiency, particularly if allegations of securities law violations are involved. At JLG, we understand our clients and know their businesses. This enables us to provide prompt, effective responses to regulatory inquiries and allegations at both the state and federal levels. Having extensive experience in responding to SEC, FINRA and other official inquiries, JLG is prepared to respond to any number of issues or claims, including:
It is our sincere hope that a regulatory exam or inquiry will not lead to enforcement. However, if this happens, it is essential to have SEC and state regulatory counsel by your side. Our lawyers are ready to provide you with guidance on how to proceed, whether by submitting a Wells notice, negotiating settlement, or going forth with an administrative proceeding.
JLG provides time-sensitive, effective regulatory responses on behalf of broker-dealers, investment advisers, hedge fund managers, and other financial and securities industry clients throughout the United States.
