Home > Professionals > Sarah Weber, Esq

Sarah Weber, Esq., Sr. Compliance Consultant

Print

Download my Contact Information

PRACTICE AREAS

  • Investment Company, Investment Advisory, and Broker-Dealer Regulatory Compliance Matters
  • Preparation of Policies and Procedures Manuals, Forms ADV and Annual Reviews
  • Compliance Program Development and Analysis
  • Mock Regulatory Examinations
Ms. Weber's practice focuses on regulatory compliance for broker-dealers, investment advisers and private funds. Prior to joining JLG, Ms. Weber's practice centered on the representation of consumers in securities, antitrust and other fraud related class actions.

Ms. Weber graduated cum laude from the University of San Diego School of Law in 2005. There, she was honored as the Outstanding Contributor to the California Regulatory Law Reporter for her reporting on the activities of the California Board of Accountancy and the California Department of Corporations. During law school Ms. Weber also served as an extern to Presiding Justice Judith McConnell at the California Court of Appeal, 4th Appellate District Division One. She received her Bachelor of Science in Business Administration with an emphasis in Finance from Northern Arizona University in 2000. Prior to obtaining her law degree, Ms. Weber was a Registered Securities Representative and Investment Adviser.

Ms. Weber is a member of the San Diego County Bar Association and the Lawyer's Club of San Diego. She also is actively involved in the organization of the Women's Resource Fair, an annual event sponsored by the Lawyers Club of San Diego providing no cost legal, medical and other social services to hundreds of local low-income women and children.

EDUCATION

J.D. Cum Laude, University of San Diego School of Law
B.S. Business Administration with Emphasis in Finance, Northern Arizona University

BAR AND COURT ADMISSIONS

The State Bar of California
United States District Court, Southern, Central and Northern Districts of California
United States Court of Appeals for Ninth Circuit

 

CCLS Blogs

Form 13F Filing Deadline Approaching

Section 13(f) of the Securities Exchange Act of 1934 requires institutional investment managers with investment discretion over $100 million or more of certain equity securities to file quarterly reports disclosing ...

Massachusetts Issues Guidance Regarding Use of Social Media by Investment Advisers

Recognizing the rapid growth of the use of social media in the securities industry, the SEC recently released a Risk Alert on the use of social media by investment advisers ...

Conferences

Newsletter Sign-up

Name

E-Mail Address

Enter Code
 

 

 Core Compliance & Legal Services Inc BBB Business Review

nwboc_logo

©2010 Core Compliance & Legal Services, Inc.  |  5920 Friars Road, Suite 208  |  San Diego, CA 92108  |  Phone: (619) 278-0020  |  Fax: (619) 278-0050             Privacy Notice