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.

• Fiduciary Duty: Best Execution Obligations

  By Thomas D. Giachetti  |  June 26, 2012

  As indicated in last month’s column (see “Fiduciary Duty: Best Practices for Fulfilling Suitability Obligations,” Investment Advisor, June 2012), the United States Supreme Court, in 1963, held in SEC v. Capital Gains Research Bureau Inc. that the Investment Advisers Act of 1940 imposes a fiduciary duty on advisors by operation...

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  Fiduciary Duty: Best Practices for Fulfilling Suitability Obligations

  By Thomas D. Giachetti  |  May 22, 2012

  In 1963, the Supreme Court held in SEC v. Capital Gains Research Bureau Inc. that the '40 Act imposes a fiduciary duty on investment advisors. What are you doing to maintain suitability standards with your clients?

• Using Solicitors—Are You Compliant?

  By Thomas D. Giachetti  |  April 24, 2012

  More and more SEC advisors are engaging solicitors to generate new business.

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  How to Pass an SEC Limited Scope Exam

  By Thomas D. Giachetti  |  March 26, 2012

  If you can demonstrate how well you're handling risk in an SEC 'mini-exam,' you may be able to delay a full-blown exam for years.

• Are You Fulfilling Your ‘Mandatory’ Training Requirement?

  By Thomas D. Giachetti  |  March 1, 2012

  There is no specific regulatory requirement that says registered investment advisors must provide “mandatory” training to their employees.

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  Top 10 Compliance To-Do’s for 2012

  By Thomas D. Giachetti  |  February 1, 2012

  2011 was a year full of changes for the investment advisory community.

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  The Large Trader Rule

  By Thomas D. Giachetti  |  January 1, 2012

  Just when you thought there couldn’t be any more forms to complete, we have yet another one from our friends at the SEC—the new Form 13H.

• Seven Easy Rules for a Safe Policies and Procedures Manual

  By Thomas D. Giachetti  |  November 28, 2011

  Compliance doesn’t have to be hard, but some advisors insist on making it so. These seven tips, starting with reading your own documents, will make it easy.

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  The Long Arm of Dodd-Frank

  By Thomas D. Giachetti  |  November 1, 2011

  The long reach of Dodd-Frank is about to extend to private investment funds.

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  SEC Adopts Family Office Rule

  By Thomas D. Giachetti  |  October 1, 2011

  Tom Giachetti interviews Stark & Stark colleague Matt Jacobs on the key provisions of the SEC's family office rule and what it means for wealth managers.