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.
January 21, 2013
The 2013 Compliance To-Do List
December 21, 2012
Securing Your Clients’ Information
November 20, 2012
The Dangers of Complacency on Compliance
October 23, 2012
18 Critical New Policies and Procedures for 2012–2013
September 25, 2012
4 Causes of Advisory Firm Breakups—and How to Prevent Them
August 21, 2012
The New and (Not) Improved Exam Process
July 24, 2012
Due Diligence: An Advisor’s Obligation
June 26, 2012