SAN DIEGO--(BUSINESS WIRE)--Jacko Law Group, PC, a leading full-service law firm and dedicated team of experts with extensive backgrounds in the securities, corporate and financial industries, today announced the hiring of David Sobel, Esq. as its FINRA Specialist.
Sobel joins Jacko Law Group with more than 30 years of experience in broker-dealer compliance and regulation, securities litigation, including arbitration and mediation, and disciplinary and enforcement matters at the SEC, NYSE and FINRA. He will primarily be responsible for working alongside the firm’s counsel during FINRA regulatory examinations and investigations.
“We are elated to have David join the JLG family as our FINRA Specialist,” said Michelle L. Jacko, Esq., Managing Partner and CEO of Jacko Law Group. “His knowledge and experience with broker-dealer regulatory examinations is unparalleled in the industry. I have no doubt that David’s insights into FINRA-related matters will make him an invaluable asset to our regulatory examination Quick Response Team.”
Sobel currently serves as the Executive Vice President, General Counsel and Chief Compliance Officer of Abel/Noser Corp., a FINRA and NYSE member broker-dealer. Prior to joining Jacko Law Group, he served as a partner at The Goldstein Law Group, PC, where he concentrated in the areas of broker-dealer compliance and regulation and securities litigation.
Sobel got his start in the industry as a Floor Member of the NYSE from 1982 through 1991 as a floor broker for both H.A. Brandt & Co. and First Options of Chicago, and as President of his own NYSE member firm, Ampro Securities, Inc. After leaving the NYSE floor, he was a Senior Equity Trader and Market Maker for Trimark Securities.
Sobel has an M.S. from Brooklyn College and a J.D. from Pace Law School, where he was an editor of the International Law Review. He has been a FINRA Arbitrator since 1998 and was Chairman of the FINRA Small Firm Advisory Board in 2013. In addition, Sobel served as a two-term District 10 Committee member, Former Board Member of the National Society of Compliance Professionals (NSCP) and Past-Chairman of the National Association of Independent Broker-Dealers (NAIBD).
“I am honored to join the Jacko Law Group team and start this new chapter of my career,” Sobel said. “JLG is well-known in the securities industry for its regulatory examination Quick Response Team. I’m excited to round out this talented group of individuals and lend some expertise on FINRA-related matters. I have known Michelle Jacko for years and this opportunity to work alongside her in an area that I am incredibly passionate about is an opportunity I could not pass up.”
Jacko Law Group provides counsel services, formation services, regulatory compliance legal services and securities law. The firm represents a wide range of clients from small offices to the largest renowned financial institutions in the U.S. These include broker-dealers, investment advisers, compliance officers, boards of directors, corporations, CEOs, banks, hedge funds, private equity firms and a variety of other financial industry and securities law professionals throughout the United States and internationally.
About Jacko Law Group, PC
Jacko Law Group, PC is a full-service law firm uniquely situated to offer tailored, comprehensive legal services to registered investment advisers, securities broker-dealers, hedge funds, financial professionals and organizations of all sizes. JLG is a proud group of like-minded legal professionals, trusted partners and thought leaders who bring deep industry knowledge and experience to the table. JLG provides corporate counsel and securities law services to clients throughout the U.S. and internationally consistent with the authorized practice of law rules in each jurisdiction. For more information, please visit http://www.jackolg.com.
