Stark & Stark’s Employment Group was quoted in the November 17, 2009 RIABiz.com article, RIAs drive explosive growth of the Broker Protocol. The article discusses the recent rise in firms who have signed the Protocol for Broker Recruiting and what this truce will mean for changes in wirehouses across the country.
You can read the full article online here.
Stark & Stark’s Employment Group was quoted in the October 19, 2009 Wall Street Journal article, COMPLIANCE WATCH: Expulsion Shows Risks Of Outside Accounts. The article discusses the recent expulsion of Miguel A. Chavez by the Financial Industry Regulatory Authority (FINRA). The expulsion comes as a result of Chavez’s association with firms that sell securities after he opened an outisde account and did not inform his employer of the account.
You can read the full article oline here. (PDF)
Thomas D. Giachetti, Chair of Stark & Stark’s Securities group and Henry E. Van Blunk, Shareholder in Stark & Stark’s Business & Corporate group authored an article for the July 2009 edition of the Charles Schwab Institutional Compliance Review entitled An Overview of External Transition Planning for the Registered Investment Adviser.
Thomas D. Giachetti, Chair of Stark & Stark’s Securities group, and Henry E. Van Blunk, Shareholder in Stark & Stark’s Business & Corporate group, authored an article for the June 2009 edition of the CharlesSchwab Institutional Compliance Review, entitled An Overview of Internal Succession Planning for the Registered Investment Advisor.
Brian A. Carlis, Shareholder in Stark & Stark Securities group, authored the article Having the Law on Your Side: Experienced legal counsel can ease the path to independence as part of the 2009 InvestmentNews What You Need to Know About Going Independent Workshop Series.
Thomas D. Giachetti, Shareholder and Chair of Stark & Stark’s Securities group will serve as the Keynote Speaker at the Barron’s Winner’s Circle Top Independent Advisors Summit Wednesday May 6 – Friday May 8, 2009 in Scottsdale, Arizona.
Brian A. Carlis, Shareholder and member of Stark & Stark’s Securities Compliance & Arbitration group, will be a featured presenter at the Investment News 2009 Going Independent Workshop.
Stark & Stark’s Employment group was quoted in the Monday March 2, 2009 InvestmentNews.com article Judge clears two ex-Smith Barney brokers. Last Thursday two ex-Smith Barney brokers, William Meyer and Marcy LePrell, were cleared of allegations that they took private client information to their new firm.
You can read the full article here. (PDF)
Brian A. Carlis, Shareholder and member of Stark & Stark’s Securities group, was quoted in the Sunday February 1, 2009 Wall Street Journal article Stay Mum When Switching Firms. The article discusses what brokers should, and more importanly, should not do when contemplating switching firms.
Brian A. Carlis, Shareholder and member of Stark & Stark’s Securities group, was quoted in the January 9, 2009 Morningstar article, PRACTICE MANAGEMENT: What Brokers Should Know Before They Go.
