Thomas D. Giachetti

About the Author

Thomas D. Giachetti

Tom Giachetti is Chair of the Securities Practice Group at Stark & Stark. A former investment banker and NASD registered representative, Mr. Giachetti’s legal practice is devoted to investment-related matters, including the representation of investment advisers, financial planners, broker-dealers, public and private investment companies, CPA firms and registered representatives throughout the United States. He also advises claimants and respondents in securities regulatory, arbitration and litigation matters.

The Securities Practice Group of Stark & Stark represents investment advisers, financial planners, broker-dealers, CPA firms, registered representatives, public and private investment companies, and investors throughout the United States.  The firm, with over 125 attorneys, and offices in Princeton, Marlton, Philadelphia, Newtown, and New York City serves clients located across the United States and Canada.

Mr. Giachetti holds a J.D. from the Syracuse University School of Law, an M.A. in economics from the Maxwell School of Syracuse University, and a B.A. in public administration and business from the University of Scranton.

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  4 Factors for Compliance Success

  By Thomas D. Giachetti  |  April 29, 2013

  If not for a visit from regulators, would honest advisors undertake most of the required compliance-related tasks? My unqualified answer: No.

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  What Trait Defines Top Advisors?

  By Thomas D. Giachetti  |  April 1, 2013

  Lessons from industry leaders: you can always be honest, but you can't always be right. And about those risk tolerance questionnaires...

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  3 Keys to a Strong Facebook Policy

  By Thomas D. Giachetti  |  February 25, 2013

  Facebook: The “wild, wild west” of social media. Can advisors use it?

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  The 2013 Compliance To-Do List

  By Thomas D. Giachetti  |  January 21, 2013

  Let’s make 2013 the year that advisory firms finally take internal control of their compliance obligations, rather than relying on unrelated parties to do so.

• Securing Your Clients’ Information

  By Thomas D. Giachetti  |  December 21, 2012

  Two common themes that have appeared during recent regulatory exams are the integrity of client assets and the integrity of clients’ information.

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  The Dangers of Complacency on Compliance

  By Thomas D. Giachetti  |  November 20, 2012

  It's critical that an advisory firm’s CCO keep abreast of all regulatory and examination changes, but even more critical for senior management to support the compliance process.

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  18 Critical New Policies and Procedures for 2012–2013

  By Thomas D. Giachetti  |  October 23, 2012

  Has your firm updated its policies and procedures to reflect substantive regulatory changes resulting from Dodd-Frank?

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  4 Causes of Advisory Firm Breakups—and How to Prevent Them

  By Thomas D. Giachetti  |  September 25, 2012

  Over the past 20 years, I have been involved in countless disputes and litigations adversely affecting the owners of small, closely held advisory firms.

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  The New and (Not) Improved Exam Process

  By Thomas D. Giachetti  |  August 21, 2012

  Has the examination process changed post-Madoff? You betcha!

• Due Diligence: An Advisor’s Obligation

  By Thomas D. Giachetti  |  July 24, 2012

  Due diligence—how much is enough?