Tom Giachetti

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  Junxure’s Friedman: Use Tech to Ensure Smooth Exams

  By John Sullivan, AdvisorOne  |  May 20, 2013

  The speed, ease and accuracy with which the information is retrieved will go a long way in determining the outcome of the exam.

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  Giachetti: Don’t Listen to the Kool-Aid Compliance Salesmen

  By John Sullivan, AdvisorOne  |  May 17, 2013

  If you like your compliance talk spiced up with frankness and salty language, Tom Giachetti of Stark & Stark is your man.

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  3 Critical Steps to Prevent Client Lawsuits: FSI OneVoice

  By John Sullivan, AdvisorOne  |  January 29, 2013

  A strong case can be made for including a well-organized and thorough IPS at the outset of every client relationship.

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  Market Blitz With David Blitzer; Growth by Design Study; 2013 Career Guide: January Investment Advisor—Slideshow

  By Editorial Staff  |  December 21, 2012

  The new year typically gets people looking ahead at things to come. Considering the things David Blitzer, chairman of the index committee at S&P Dow Jones Indices, sees coming, we couldn’t wait to share them.

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  Tom Giachetti's 10 Blunt Compliance Warnings

  By James J. Green, AdvisorOne  |  December 21, 2012

  Tom Giachetti doesn’t mince words.

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  What’s All the Fuss About Schapiro?

  By James J. Green, AdvisorOne  |  December 21, 2012

  By the time you read this, Elisse Walter (at least temporarily) has replaced Mary Schapiro as chairman of the SEC.

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  Poll Results: As SEC’s Schapiro Steps Down, Advisors Speak Up

  By James J. Green, AdvisorOne  |  December 13, 2012

  Our AdvisorOne survey found some sentiment for Sallie Krawcheck, but gave regulators overall poor marks for protecting consumers and providing a level playing field.

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  Tom Giachetti’s 10 Blunt Compliance Warnings

  By James J. Green, AdvisorOne  |  November 30, 2012

  The federal compliance picture: What SEC examiners want. The local compliance picture: State examiners "are not your friends."

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  Breach of Fiduciary Duty Most Common FINRA Complaint

  By Melanie Waddell, AdvisorOne  |  October 23, 2012

  While attending the last in a series of events to celebrate what the Institute for the Fiduciary Standard christened as Fiduciary September, one comment stood out: The No. 1 compliant in FINRA arbitration cases is breach of fiduciary duty.

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  What Advisors Need to Know Before Going Independent

  By Marlene Y. Satter, AdvisorOne  |  September 25, 2012

  A webinar hosted by AdvisorOne presented guidance on how advisors can decide whether to break away—and if so, some of the essentials they should know to make it a successful move.