Thomas D. Giachetti
Thomas D. Giachetti is Chairman of the Investment Management and Securities Practice of Stark & Stark. A former investment banker and NASD registered representative, Giachetti’s legal practice is devoted to investment-related matters, including the representation of investment advisers, financial planners, broker-dealers, CPA firms and registered reps.
November 25, 2013
Get Ready for an Aggressive SEC in the New Year
October 28, 2013
Exam Update: Are You Ready for the SEC?
September 30, 2013
SEC Issues Risk Alert and Reminder: Continuity Plans and Reg S-ID
August 26, 2013
Making Sense of Form 13F
July 01, 2013
Do You Need to File Form PF?
May 28, 2013
Waving the Red Flag on Identity Theft
April 29, 2013
4 Factors for Compliance Success
April 01, 2013