Thomas D. Giachetti
Thomas D. Giachetti is Chair, Securities Practice Group, Stark & Stark, a firm with over 100 attorneys, and offices in Princeton and Marlton, New Jersey, Philadelphia, and New York City. A former banker and registered NASD representative, his legal practice is devoted to investment-related matters, including the representation of investment advisors, financial planners, broker/dealers, public and private investment companies, CPA firms, and registered representatives throughout the United States. Mr. Giachetti is a frequent lecturer at securities industry compliance seminars, annual meetings, and educational programs. He also serves as an expert witness in securities litigation/arbitration matters throughout the country.
Email Thomas D. Giachetti at
tgiachetti@stark-stark.com
August 1, 2007
Internal Medicine
The options for structuring an internal succession plan
By Thomas D. Giachetti
June 1, 2007
Look Before Leaping
When moving from one firm to another, be careful how you step
By Thomas D. Giachetti
April 1, 2007
First, Hold On to Your Clients
Before selling your firm, make sure restrictive covenants are in place
By Thomas D. Giachetti
It is becoming increasingly more important for investment advisory firms to consider succession planning issues, whether via prospective internal succession or an external acquisition or sale.
February 1, 2007
When Should You Register?
A guide for when “tweeners” should register with the SEC
By Thomas D. Giachetti
Should an investment advisor with $30 million of “assets under management” register with the SEC? It depends on whether the advisor has “qualifying” assets under management.
November 1, 2006
Defining Fiduciary
What is an advisor’s true fiduciary duty?
By Thomas D. Giachetti, Esq.
In 1963, the United States Supreme Court held in SEC v. Capital Gains Research Bureau, Inc. ...
August 1, 2006
A Process, Not a Destination
Complacency and compliance do not mix
By Thomas D. Giachetti, esq.
With the advent of SEC Rule 206(4) 7, which requires SEC-registered investment advisors to implement and maintain policies and procedures appropriate for their investment advisory business, it is ...
July 1, 2006
Passing Muster
Is your electronic record keeping up to SEC snuff?
By Thomas D. Giachetti, esq.
In this, my initial column, I will begin to address compliance and practice protection-related issues important to both SEC and state registered investment advisors. ...
August 1, 2005
Come Right In
If you want to welcome an SEC examiner, get prepared now
By Thomas D. Giachetti, Esq.
