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Michelle L. Jacko Esq. - San Diego, CA

1350 Columbia StreetSuite 300 San Diego, CA 92101

Updated: 01/22/2020

San Diego Investment adviser, broker-dealer, hedge fund and private fund regulatory counsel Lawyer

Overview

PRACTICE AREAS

  • Investment adviser, broker-dealer, investment company, hedge and private fund regulatory counsel
  • Contracts, formations, registration and client disclosure documents (including Forms ADV, PF and BD), solicitor and finder arrangements and counsel for breakaway/transitioning Advisors
  • Mergers and acquisitions
  • Business succession and transition planning and assessment
  • Compliance program reviews, mock SEC examinations and internal control evaluations
  • Legal and regulatory compliance education...

PRACTICE AREAS

  • Investment adviser, broker-dealer, investment company, hedge and private fund regulatory counsel
  • Contracts, formations, registration and client disclosure documents (including Forms ADV, PF and BD), solicitor and finder arrangements and counsel for breakaway/transitioning Advisors
  • Mergers and acquisitions
  • Business succession and transition planning and assessment
  • Compliance program reviews, mock SEC examinations and internal control evaluations
  • Legal and regulatory compliance education and training

Michelle L. Jacko, Esq. is the Managing Partner and CEO of Jacko Law Group, PC, which offers corporate and securities legal services to broker-dealers, investment advisers, investment companies, hedge/private funds and financial professionals. In addition, Ms. Jacko is the Founder and CEO of Core Compliance & Legal Services, Inc., a compliance consultation firm.

Ms. Jacko specializes in investment advisory and broker-dealer firm formation, hedge and private fund development, mergers and acquisitions, transition risks and investment counsel on regulatory compliance and securities law. Her practice is focused on the areas of corporate and compliance risk management, contracts, policies and procedures, testing of compliance programs (including evaluation of internal controls and supervision), performance advertising, soft dollar arrangements, best execution, separation agreements and much more.

Previously, Ms. Jacko served as Of Counsel at Shustak & Partners, PC. Prior to that, she was Vice President of Compliance and Branch Manager of the Home Office Supervision team at LPL Financial Holdings (formerly, Linsco/Private Ledger). Ms. Jacko also served as Legal Counsel of Investments and Chief Compliance Officer at First American Trust, FSB and held the position of Compliance Manager at Nicholas-Applegate Capital Management. In addition, Ms. Jacko was with PIM Financial Services, Inc., and Speiser, Krause, Madole & Mendelsohn, Jackson.

Ms. Jacko regularly presents at conferences throughout the nation, and is a frequent contributor to various industry journals. In 2013, Ms. Jacko was appointed to and continues to serve on the Editorial Advisory Board for the Wolters Kluwer publication Practical Compliance and Risk Management for the Securities Industry. She is the former Vice-Chair of Education and Member of the Corporations Committee of the Business Law Section of the State Bar of California, Former Advisory Board Co-Chair and Member of the Business & Corporate Law Section of the San Diego County Bar Association, Co-Founder and Member of the Southern California Compliance Group, Former Board Member and Member of the National Society of Compliance Professionals (NSCP) and is a Member of the American Bar Association, Business Law Section. She also is a FINRA Arbitrator. Ms. Jacko was recently recognized as a finalist for San Diego Business Journal's 2017 Most Admired CEO Award. In 2014, Ms. Jacko was named as a finalist for San Diego Magazine's 2014 Woman of the Year Award and San Diego Business Journal's 2014 Women Who Mean Business Awards.

Ms. Jacko received her J.D. from St. Mary's University School of Law and B.A., International Relations, from the University of San Diego. She is admitted to the State Bar of California and United States District Court, Southern District of California. Michelle holds NSCP's Certified Securities Compliance Professional (CSCP) designation, and is a member of the National Association of Women Lawyers.

About Michelle L. Jacko Esq.

Current Employment Position(s)

  • Managing Partner
  • CEO

Practice Areas

  • Investment adviser, broker-dealer, hedge fund and private fund regulatory counsel
  • Contracts, registration and disclosure documents, including client agreements, sub-advisory contracts, investment policy statements, solicitor agreements, forms ADV, PF and BD
  • Mergers and acquisitions and general corporate counsel
  • Compliance program reviews, mock SEC examinations and internal control evaluations
  • Legal and regulatory compliance education and training
  • Mergers and Acquisitions
  • Private Equity & Hedge Fund Consulting Services
  • SEC/State: Regulatory Compliance Services

Qualifications

Bar Admissions

  • California
  • U.S. District Court Southern District of California

Specialties and Certifications

  • NSCP’s Certified Securities Compliance Professional

Other Affiliations

  • National Society of Compliance Professionals (Two-term board member)
  • Certified Securities Compliance Professional (sponsored by NSCP)
  • Wolters Kluwer Practical Compliance and Risk Management for the Securities Industry Publication (Editorial advisory board member)
  • Southern California Compliance Group (Speaker's bureau chair and co-founder)
  • American Bar Association, Business Law Section (Member)
  • The State Bar of California, Corporations Committee (Member)
  • San Diego County Bar Association, Business & Corporate Law Section (Advisory board member)
  • FINRA board of arbitrators (Member)
  • FINRA (Arbitrator)
  • National Women Business Owners Corporation (Member)
  • National Association of Women Lawyers (Member)
  • American Bar Association (Member)

Classes and Seminars

  • Anticipating the Inevitable: Preparing for the SEC in 2020 (Seattle) Seattle, WA
  • The SEC's New Proposed Advertising Rule Webinar, 2019 - Present
  • Charles Schwab - IMPACT 2019 San Diego, CA, 2019 - Present
  • Supporting Women in Compliance Baltimore, MD, 2019 - Present
  • 2019 Priorities and Succession/Transition Planning Action San Francisco, CA, 2019 - Present
  • Passing With Flying Colors: How to Prepare for an SEC Examination, 2019 - Present
  • Best Practices for Managing Conflicts of Interest, 2018 - Present
  • Passing With Flying Colors: How to Prepare for an SEC Examination, 2018 - Present
  • Investment Advisers, Elder Financial Abuse and the Senior$afe Act, 2018 - Present
  • Annual Securities Law Update, 2018 - Present
  • SEC Examinations, 2018 - Present
  • SEC Hot Topics, 2018 - Present
  • Considerations for Advisers with Individual Clients, 2018 - Present
  • Dancing Through the Mine Field of Business Regulation, 2018 - Present
  • Checklist of the New Form ADV Part 1A Amendments, 2017 - Present
  • SEC Expectations for Cybersecurity Incident Response Plans, 2017 - Present
  • Compliance Risk and Governance in Today's World, 2017 - Present
  • Creating a Business and Compliance Risk Inventory, 2017 - Present
  • Vulnerable Investors, 2017 - Present
  • Considerations for Advisers with Aging Clients, 2017 - Present
  • Fall Compliance Workshop, 2016 - Present
  • Effective Testing Ideas for Your Annual Review, 2016 - Present
  • Regulatory Examinations, 2016 - Present
  • Life Stages of Your Business, 2016 - Present
  • Private Funds, 2016 - Present
  • Aging Clients and the Investment Advisory Practice, 2016 - Present
  • Performance Marketing, GIPS and Social Media, 2015 - Present
  • Cybersecurity, 2015 - Present
  • Compliance Risk Management, 2015 - Present
  • Succession Planning, 2015 - Present
  • Marketing Material, 2015 - Present
  • Deciphering the Latest SEC Document Request List
  • Private Placement Memorandum, 2015 - Present
  • Simplifying Compliance for the Complex Firm, 2015 - Present
  • Core Compliance 2015 Annual Compliance Symposium, 2015 - Present
  • Compliance Considerations for Advisers to Mutual Funds and Institutional Clients, 2015 - Present
  • SEC Exam Priorities, 2015 - Present
  • Aligning Disclosures with Business Practices, 2015 - Present
  • Anticipating the Inevitable: Preparing for the SEC in 2020 (San Francisco)
  • Compliance Issues for Advisers with Individual Clients, 2015 - Present
  • Advertising and Marketing, 2015 - Present
  • Compliance Surveillance for Trading and Best Execution, 2015 - Present
  • Performance Marketing & Social Media, 2014 - Present
  • BD/IA - Dual Registrant Challenges, 2014 - Present
  • New Age of Marketing, 2014 - Present
  • How to Prepare for the SEC, 2014 - Present
  • Cybersecurity, 2014 - Present
  • Cybersecurity and BCPs, 2014 - Present
  • Business Continuity Planning, 2014 - Present
  • New Regulations, Hot Topics and What to Expect in 2015, 2014 - Present
  • Best Practices, 2014 - Present
  • Identifying Compliance Risks and Gaps at Your Firm, 2014 - Present
  • Compliance Considerations for Advisers to Mutual Funds and Institutional Clients, 2014 - Present
  • Conducting Due Diligence, 2014 - Present
  • Trading Practices and Challenges of Investment Advisers; Social Media Strategies, 2014 - Present
  • Trading Practices and Challenges of Investment Advisers, 2014 - Present
  • Aligning Compliance Resources for Advisory Organizations, 2014 - Present
  • Communications with the Public; Conducting Due Diligence, 2014 - Present
  • Hot Topics in SEC Exams & How to Prepare, 2014 - Present
  • Establishing a Culture of Compliance and Risk Management for Competitive Business Advantage, 2014 - Present
  • Prepare For and Survive an SEC Examination, 2014 - Present
  • Establishing Compliance and Risk Management for Competitive Business Advantage, 2014 - Present
  • Establishing Compliance and Risk Management for Competitive Business Advantage Bellevue, WA, 2014 - Present
  • Best Practices for Business Continuity and Disaster Recovery Washington, DC, 2013 - Present
  • Techniques to Improve Your Due Diligence While Avoiding Enforcement Risks Los Angeles, CA, 2013 - Present
  • Managing Risk: Onboarding Employees Napa, CA, 2013 - Present
  • Understanding Estate Planning Basics & Regulatory Considerations Affecting Advisors La Jolla, CA, 2013 - Present
  • The Do's and Don'ts of Performance Advertising, 2013 - Present
  • SEC Examinations and Regulatory Hot Topics, 2013 - Present
  • Due Diligence on Third Parties, 2013 - Present
  • Business and Corporate Law Section – Annual Securities Law Update, 2013 - Present
  • Techniques to Improve Your Due Diligence While Avoiding Enforcement Risks, 2013 - Present
  • Establishing Compliance and Risk Management for Competitive Business Advantage, 2013 - Present
  • Enterprise Risk Management, 2012 - Present
  • Intro to Compliance (Small Firms) & Enterprise Risk Management, 2012 - Present
  • Conducting an Annual Review and Enterprise Risk Management, 2012 - Present
  • Developing an Acceptable P&P Manual, 2012 - Present
  • Insider Trading Concerns Should Still Keep You Up at Night, 2012 - Present
  • Understanding Estate Planning Basics & Regulatory Considerations Affecting Advisors, 2012 - Present
  • What You Need to Know and How to Prepare, 2012 - Present
  • Annual Securities Law & Dodd-Frank Update, 2012 - Present
  • Staying Ahead of the Latest Regulatory Issues and Trends, 2012 - Present
  • Introduction to Investment Adviser Compliance, 2012 - Present
  • How to Survive a Regulatory Examination, 2012 - Present
  • Compliance and Risk in Today's World, 2012 - Present
  • Recent Enforcement Actions Against Advisers, 2012 - Present
  • 2012 Compliance Hot Topics, 2012 - Present
  • Enterprise Risk Management, January 23, 2012 - Present
  • Enterprise Risk Management, 2012
  • Advertising for IAs, 2012 - Present
  • New Regulatory Examinations & Advertising for Investment Advisers, 2011 - Present
  • Annual Securities Law Update, 2011 - Present
  • Social Media & Advertising, 2011 - Present
  • How to Prepare For and Survive an SEC Examination, 2011 - Present
  • Expanding Your Knowledge of Social Media Networks, 2011 - Present
  • CCO Liability, 2011 - Present
  • Practical Guidance to Testing and Oversight, 2011 - Present
  • Knowing the CCO's Responsibilities, 2011 - Present
  • Marketing Advisory Services and Protection of Client Records and Information, 2011 - Present
  • The Effect of Regulatory Changes for Investment Advisor, 2011 - Present
  • Annual Review, Arlington, VA, 2011 - Present
  • Code of Ethics, 2011 - Present
  • IA Examinations Process , 2011 - Present
  • The Dodd-Frank Act, 2011 - Present
  • How to Survive an Audit, 2011 - Present
  • Due Diligence on Sub-advisers, Vendors, and New Products, 2010 - Present
  • The Actual Process of Registration, 2010 - Present
  • How to Effectively Promote Your Hedge Fund, 2010 - Present
  • Dodd-Frank Act: The Annual Securities Law Update, 2010 - Present
  • The Dodd-Frank Act: What you Need to Know and How to Prepare, 2010 - Present
  • The Dodd-Frank Act: What you Need to Know and How to Prepare Tulsa and Oklahoma City, OK, 2010 - Present
  • Surviving and Thriving as a CCO, 2010 - Present
  • Use of Social Media and Electronic Communications in Marketing & Advertising, 2010 - Present
  • Being Compliant with your Social Media Strategy, 2010 - Present
  • The New Era of Risk Management: How to Protect Yourself and Your Firm, 2010 - Present
  • The Ever-Changing Compliance and Regulatory World, 2010 - Present
  • Understanding the Potential and Limits of Advertising & Marketing, 2010 - Present
  • The Study of RFPs and Due Diligence Questionnaires & Processes, 2010 - Present
  • The Amended Custody Rule, 2010 - Present
  • Risk Management Workshop for Small Firms, 2010 - Present
  • The New Era of Risk Management San Francisco, CA, 2010 - Present
  • Dialogue with Area Regulators San Francisco. CA, 2010 - Present
  • Advertising & Marketing Compliance, 2010 - Present
  • Adviser Issues in the Institutional and Retirement Marketplace, 2009 - Present
  • Compliance Programs and IA Regulatory Panel Philadelphia, PA, 2009 - Present
  • Staying on the Right Side of the Compliance Line with Performance Advertising and Marketing, 2009 - Present
  • Taking Action in Uncertain Times- Compliance Panel, 2009 - Present
  • What to Know about Your Employees and Vendors, 2009 - Present
  • Dialogue with Area Regulators Los Angeles, CA, 2009 - Present
  • Investment Adviser Compliance Overview , 2008 - Present
  • Tips to Avoid Compliance Lapses & Web Site Do's and Don'ts, 2008 - Present
  • New Form ADV: Part 2 Most Difficult Disclosure Issues Revealed , 2008 - Present
  • The Integration of Operations and Business Management, 2008 - Present
  • How to Survive & Thrive During your Next SEC Exam, 2008 - Present
  • Managing and Surviving an SEC Review, 2008 - Present
  • Form ADV, Dramatic Change Ahead, 2008 - Present
  • The Next Step in Compliance: The Integration of Operations & Business Management Planning , 2008 - Present
  • Cross-Channel Marketing Compliance and Managing Conflict of Interest within a Multi-Line Business, 2008 - Present
  • Safeguarding and Protecting Confidential Client Information , 2008 - Present

Past Positions

  • Shustak & Partners, P.C., Of Counsel
  • Compliance, Vice President
  • Home Office Supervision team at LPL Financial Services, Branch Manager
  • Corporation (Linsco/Private Ledger)
  • Investments, Legal Counsel
  • First American Trust, FSB, Chief Compliance Officer
  • Nicholas-Applegate Capital Management, Compliance Manager
  • PIM Financial Services, Inc.
  • Speiser, Krause, Madole & Mendelsohn, Jackson

Education

  • St. Mary's University School of Law, San Antonio, Texas, 1996
    J.D.
    Honors: cum laude
  • University of San Diego, 1993
    B.A.
    Honors: cum laude
    Major: International Relations

Articles

Published Works

  • Tips on How to Prepare for Your Next Examination: Part 2 National Society of Compliance Professionals (NSCP) Currents, 2019
  • How Risk Alerts Can Help You Prepare for Your Next Examination Wolters Kluwer: Practical Compliance & Risk Management For the Securities Industry, 2019
  • Tips on How to Prepare For Your Next Examination: Part 1 National Society of Compliance Professionals (NSCP) Currents, 2019
  • Common Compliance Violations Seen in 2018 Wolters Kluwer: Practical Compliance & Risk Management For the Securities Industry, 2019
  • Securities Law Issues Involving Crowdfunding Transactions National Society of Compliance Professionals (NSCP) Currents, 2018

Office Information

Address

1350 Columbia StreetSuite 300 San Diego, CA 92101

Fax

  • (619) 298-2882

Achievements

Honors

  • Named as a Top 20 Rising Star for "Who's Who" in Upcoming Compliance Professionals by Compliance Reporter Magazine, 2006
  • 019 NAWBO Bravo Awards - San Diego, Finalist
  • San Diego Business Journal, Finalist, 2017 - 2019
  • Most Admired CEO Awards
  • Business Women of the Year Award, 2018 - 2019
  • an Diego Business Journals' 2014 Women Who Mean Business Award, 2014 - Present
  • San Diego Magazine, Finalist, 2014 - Present
  • Influential Women: Woman of the Year Award, 2017 - 2019
  • Business Women of the Year, International Magazine CEO Today, 2019 - Present
  • Acquisition International magazine's Global Excellence Awards: most Influential Woman in Securities Law San Diego, 2019 - Present
  • 2 Women of Influence in San Diego, CA, San Diego Metro

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