Every investment adviser understands their fiduciary duty to act in a client’s best interest. Despite this, many SEC enforcement actions result not from intentional client harm, but rather from preventable failures: insufficient understanding of a client and/or the client’s needs, … Read More

CEO Michelle Jacko‘s recent article, “What to Expect During an SEC Formal Investigation,” was published in the June 2026 issue of the NSCP Currents Newsletter. In the article, she explores the role of the SEC’s Division of Enforcement and their … Read More