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.
April 25, 2016
‘Top-Down Compliance’ Isn’t Just a Buzzword
March 28, 2016
Can Advisors Disclose Away 12b-1 Fee Conflicts?
March 01, 2016
New Law Eases Advisors’ Disclosure Burden
February 01, 2016
Is Your Advertising Prohibited?
December 28, 2015
Advisors, Own Your Compliance
November 30, 2015
How to Fix the SEC Exam Process
November 02, 2015
SEC Clarifies RIAs’ Cybersecurity Obligations
September 28, 2015