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Ms. Jarcho served as a Deputy Director at the SEC Office of Compliance Inspections & Examinations (“OCIE”) and Head of the Investment Adviser/Investment Company (“IA/IC”) examination program. Ms. Jarcho’s enforcement work covered a breadth of areas, including complex financial frauds, insider trading, offering frauds, market manipulation, broker-dealer supervision, and investment adviser and investment company violations.

Ms. Jarcho served as OCIE Deputy Director from 2016 to 2018, with responsibility for overseeing OCIE’s program areas, including IA/IC, Broker-Dealer and Exchange, FINRA and Securities Industry Oversight, and Clearance and Settlement. Ms. Jarcho was an active member of several OCIE committees, including co-chairing the Risk and Exam Process committee and participating as a member of the Technology Committee.


Ms. Jarcho also led the National IA/IC examination program from 2013 to 2018 and numerous targeted high-risk examination initiatives in areas including cybersecurity, internet and robo advisers, alternative mutual funds, share class recommendations, retirement accounts, high-yield bond funds, 12b-1 fees and distribution costs, wrap fee accounts, and supervision of individuals with disciplinary history. Additionally, Ms. Jarcho led the creation of the Private Funds Unit and has supervised the unit from its inception in 2014.


Ms. Jarcho received several awards for her work at the SEC, including the Labor-Management award for her work with the NTEU in OCIE’s reorganization, the SEC’s Excellence in Information and Technology Award for their work on OCIE’s examination reporting system, and awards for Supervisory Excellence and as a participant on several OCIE project teams. Additionally, in 2015, Ms. Jarcho was named to Wealth Management’s “Ten to Watch” list for her role in significantly increasing the annual number of OCIE examinations.


Prior to joining OCIE, Ms. Jarcho had a distinguished 18-year career in the SEC’s Division of Enforcement. She began her career in the Enforcement Division in the Chicago Regional Office in 1990 and held several positions, including Assistant Regional Director and Trial Counsel.


After leaving the SEC, Ms. Jarcho has been retained as an expert witness several times. She has consulted, among other things, on SEC examination referrals to Enforcement, SEC actions, private fund disputes, fiduciary duty application for IAs, and supervisory responsibilities of IA and broker dealers. Ms. Jarcho has experience in matters in arbitration and state and federal courts.


Ms. Jarcho has spoken at numerous industry conferences and continuing education events as well as internationally in Hong Kong, Istanbul, London, Malaysia, Saudi Arabia, and Swaziland. Ms. Jarcho has a bachelor’s degree from Middlebury College and a law degree from the University of Wisconsin Law School.


EXPERTISE

 

Complex Financial Frauds

Investment Adviser/Company Violations

Insider Trading

Offering Frauds

Market Manipulation

Broker-Dealer Supervision

 

EDUCATION


University of Wisconsin Law School

JD, Law


Middlebury College

BA, Political Science

WORK HISTORY


SEDA Experts

Managing Director

2022-Current


Jane Jarcho Consulting and Expert Witness Services

Expert Witness

2018-Current


Promontory Financial Group

Consultant

2018-2022


SEC Office of Compliance Inspections & Examinations

Deputy Director

2016-2018

National Associate IA/IC Examination Program

2013-2018

Chicago Regional Associate Director IA/IC Examination Program

2008-2013


SEC Division of Enforcement (Chicago Regional Office)

Assistant Regional Director

1999-2008

Senior Trial Counsel

1994-1999

Branch Chief

1992-1994

Senior Attorney and Staff Attorney

1990-1992


D’Ancona & Pflaum, Chicago

1988-1990


Portes, Sharp, Herbst & Kravets, Chicago

1986-1988

Investment Adviser Expert Witness

Complex Financial Frauds,

Investment Adviser/Company Violations,

Insider Trading,

Offering Frauds,

Market Manipulation,

Broker-Dealer Supervision, SEDA consulting, SEDA financial group, Financial services testifying expert, Financial Industry Experts, Testifying Experts Support, financial expert witness, Dispute Resolution

Contact Form
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Contact

Jane Jarcho

1185 Avenue of the Americas
New York, NY 10036

+1 646-626-4555

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