Tag: Securities Compliance & Arbitration

Thomas D. Giachetti, Chair and Shareholder of Stark & Stark’s Securities Practice group, will present at the 2008 InvestmentNews What you Need to Know About Going Independent workshop series for advisers.

Thomas Giachetti, Chair and Shareholder of Stark & Stark’s Securities Compliance & Arbitration Group, authored the article So You Think Your Marketing Practices Are Compliant? for the May/June issue of the IMCA Monitor.

Thomas Giachetti, Chair and Shareholder of Stark & Stark’s Securities Practice Group, was quoted in the March 2007 TD Ameritrade Transition News article, titled, Thinking of Leaving Your Brokerage Firm and Going Solo? Make Sure You Know Your Rights.

Stark & Stark’s Securities group authored 13 F – Have You Counted All of Your Assets?  Use of Sub-Advisers and Hedge Fund Managers for the January 2007 issue of The Active Manager.  The Active Manager is the bi-monthly journal of the National Association of Active Investment Managers.

You can read the article here.

Tom Giachetti authored “When Should You Register: A Guide for When ‘Tweeners’ Should Register with the SEC” for the Expert’s Corner column of the February issue of Investment Advisor magazine.

Thomas Giachetti was quoted on the article “Practice Management: What To Know Before You Break Away” in the Dow Jones Newswire.