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Michelle L. Jacko, Esq.
Chief Executive Officer
Contact Information
5920 Friars Road, Suite 208
San Diego, CA 92108
Tel: 619.278.0020
Fax: 619.374.1928
michelle.jacko@corecls.com
Chief Executive Officer
Contact Information
5920 Friars Road, Suite 208
San Diego, CA 92108
Tel: 619.278.0020
Fax: 619.374.1928
michelle.jacko@corecls.com
PRACTICE AREAS
Michelle L. Jacko, Esq. is the Founder and CEO of Core Compliance & Legal
Services, Inc. (CCLS), a securities compliance consultation firm. In addition,
Ms. Jacko is Managing Partner and CEO of Jacko Law Group, PC, a boutique
securities law firm providing counsel to firms and financial advisers across the
nation.
Ms. Jacko specializes in broker-dealer, investment advisory and private fund
consultation focusing on regulatory compliance issues and risk management
practices. Her practice specifically focuses on SEC, SRO and state regulatory
examinations and investigations, testing of compliance programs (including
evaluation of internal controls and supervision), performance advertising,
contract reviews, soft dollar arrangements, best execution and more. She
has drafted Codes of Ethics and personal trading procedures; disclosures
within Forms ADV; formed broker-dealers and investment advisers;
implemented and provided "best practice" recommendations for surveillance
systems; and managed disaster recovery efforts. Her other specialty areas
include advisory and sub-advisory arrangements, Regulation S-P and
safeguard controls, due diligence efforts, solicitor's arrangements, annual
reviews, expert witness work and compliance education and training.
Previously, Michelle served as Of Counsel at Shustak & Partners, PC. Prior to
CCLS, Michelle was Vice President of Compliance and Branch Manager of the
Home Office Supervision team at LPL Financial Services, Corporation
(Linsco/Private Ledger). Previously, she was the 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. Before that, Michelle was with PIM Financial Services, Inc. and
Speiser, Krause, Madole & Mendelsohn, Jackson. Ms. Jacko received her J.D.
from St. Mary’s University School of Law and B.A. in 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 is a Certified Securities Compliance Professional and board member
of the National Society of Compliance Professionals (NSCP), where she serves
as Chairperson on its Strategic Development Committee.
Michelle frequently authors industry articles and presents at conferences
throughout the nation. She is co-founder of and Speakers Bureau Chair for
the Southern California Compliance Group and currently serves on the
Advisory Board to the Business Law Section of the San Diego County Bar
Association. Michelle is a FINRA arbitrator and also is involved in the American
Bar Association (Business Law Section) and State Bar of California.
EDUCATION
J.D., Cum Laude, St. Mary’s University School of Law
B.A., International Relations, University of San Diego
BAR AND COURT ADMISSIONS
The State Bar of California
United States District Court, Southern District of California
PROFESSIONAL AFFILIATIONS & CERTIFICATIONS
Board Member, National Society of Compliance Professionals
Speaker’s Bureau Chair, Southern California Compliance Group
Advisory Committee and Member, San Diego County Bar Association
Member, American Bar Association
Member, State Bar of California
Member, FINRA Arbitrator
Certified Securities Compliance Specialist (sponsored by NSCP)
- Investment Management, Broker-Dealer and Private Fund Regulatory
Compliance, Risk Management and Registration - Mock SEC Examinations and Compliance Annual Reviews / Target
Assessments - Written Supervisory Procedures, Compliance Manuals and Codes of
Ethics - Business Continuity Testing, Fraud Detection, Regulation S-P and
Internal Control Evaluations - Performance Advertising Reviews
- Expert Witness Work
Michelle L. Jacko, Esq. is the Founder and CEO of Core Compliance & Legal
Services, Inc. (CCLS), a securities compliance consultation firm. In addition,
Ms. Jacko is Managing Partner and CEO of Jacko Law Group, PC, a boutique
securities law firm providing counsel to firms and financial advisers across the
nation.
Ms. Jacko specializes in broker-dealer, investment advisory and private fund
consultation focusing on regulatory compliance issues and risk management
practices. Her practice specifically focuses on SEC, SRO and state regulatory
examinations and investigations, testing of compliance programs (including
evaluation of internal controls and supervision), performance advertising,
contract reviews, soft dollar arrangements, best execution and more. She
has drafted Codes of Ethics and personal trading procedures; disclosures
within Forms ADV; formed broker-dealers and investment advisers;
implemented and provided "best practice" recommendations for surveillance
systems; and managed disaster recovery efforts. Her other specialty areas
include advisory and sub-advisory arrangements, Regulation S-P and
safeguard controls, due diligence efforts, solicitor's arrangements, annual
reviews, expert witness work and compliance education and training.
Previously, Michelle served as Of Counsel at Shustak & Partners, PC. Prior to
CCLS, Michelle was Vice President of Compliance and Branch Manager of the
Home Office Supervision team at LPL Financial Services, Corporation
(Linsco/Private Ledger). Previously, she was the 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. Before that, Michelle was with PIM Financial Services, Inc. and
Speiser, Krause, Madole & Mendelsohn, Jackson. Ms. Jacko received her J.D.
from St. Mary’s University School of Law and B.A. in 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 is a Certified Securities Compliance Professional and board member
of the National Society of Compliance Professionals (NSCP), where she serves
as Chairperson on its Strategic Development Committee.
Michelle frequently authors industry articles and presents at conferences
throughout the nation. She is co-founder of and Speakers Bureau Chair for
the Southern California Compliance Group and currently serves on the
Advisory Board to the Business Law Section of the San Diego County Bar
Association. Michelle is a FINRA arbitrator and also is involved in the American
Bar Association (Business Law Section) and State Bar of California.
EDUCATION
J.D., Cum Laude, St. Mary’s University School of Law
B.A., International Relations, University of San Diego
BAR AND COURT ADMISSIONS
The State Bar of California
United States District Court, Southern District of California
PROFESSIONAL AFFILIATIONS & CERTIFICATIONS
Board Member, National Society of Compliance Professionals
Speaker’s Bureau Chair, Southern California Compliance Group
Advisory Committee and Member, San Diego County Bar Association
Member, American Bar Association
Member, State Bar of California
Member, FINRA Arbitrator
Certified Securities Compliance Specialist (sponsored by NSCP)
| 5920 Friars Road Suite 208 San Diego, CA 92108 Phone: 619-278-0050 Fax: 619-278-0020 |