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.

• Dodd-Frank’s New Rules for Mid-Sized Advisors

  By Thomas D. Giachetti  |  August 24, 2011

  When the Dodd-Frank Act was passed on July 21, 2010, the intent was to create a foundation for financial regulatory reform.

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  E&O Errors

  By Thomas D. Giachetti  |  August 1, 2011

  As I sit on my return flight to the United States from Italy, it saddens me to report that I was not successful in becoming the securities commissioner of Positano or Venice, the Italians insisting that no such position exists.

• Are You Prepared for a Regulatory Exam?

  By Thomas D. Giachetti  |  July 1, 2011

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  From Deadlines to Lifelines

  By Thomas D. Giachetti  |  June 1, 2011

  Recently, the SEC indicated that two previously identified deadlines may be extended.

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  You Can’t Regulate Crooks

  By Thomas D. Giachetti  |  May 1, 2011

  Will all the stress and cost associated with this new Part 2A make a substantial difference for the investing public?

• Dodd-Frank: An Overview Of Pending Changes For Investment Advisors

  By Thomas D. Giachetti  |  April 1, 2011

• Get Form ADV Right

  By Thomas D. Giachetti  |  March 1, 2011

  The new Form ADV Part 2A, or Brochure, shall take the place of an investment advisor’s old ADV Part 2 and Schedule F.

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  2011 Compliance Checklist

  By Thomas D. Giachetti  |  February 1, 2011

  Remember, compliance is not difficult if you understand the rules and how they apply (and more importantly, do not apply) to the firm.

• Keeping Political Contributions Compliant

  By Thomas D. Giachetti  |  January 1, 2011

  I recently sat down with my partner, Paul Lieberman, who has considerable expertise on the new Advisors Act Rule 206(4)-5 regarding political contributions by investment advisors.

• Will You Stay SEC Registered in 2011?

  By Thomas D. Giachetti  |  December 1, 2010

  We all know by now that the assets under management threshold to remain registered with the Securities and Exchange Commission will be raised to $100...