Stark & Stark Attorney Comments on Bear Stearns Collapse

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Bill Singer, Shareholder and member of Stark & Stark's Securities group, was interviewed for the article Bear Stearns Collapse is Opportunity For One Caribbean Stock Exchange for Caribbean World News.com. The article discusses the March 16th collapse of Bear Stearns and the opportunities this could present to the One Caribbean Stock Exchange.


Mr. Singer comments on the opportunity for the Caribbean markets to consolidate in the wake of the Bear Stearns collapse, and discusses the negative impacts the long delays in consolidating could mean for the Caribbean in relation to global markets.


You can read the full story online here, or download a PDF of the article here.

Stark & Stark Attorney Comments on Governor Spitzer Case

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Bill Singer, Shareholder and member of Stark & Stark's Securities group, was interviewed for Bloomberg TV addressing the recent charges against New York Governor Eliot Spitzer. Mr. Singer comments on the allegations of Mr. Spitzer's involvement with Emperors Club prostitutes, and what these charges could mean for Wall Street, and the state of New York.

You can view the full interview with Mr. Singer here.

Thomas Giachetti to Present at InvestmentNews Workshop Series

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Thomas D. Giachetti, Chair and Shareholder of Stark & Stark's Securities Practice group, will present at the 2008 InvestmentNews What you Need to Know About Going Independent workshop series for advisers.


The series will help you understand the pro's and con's of becoming a Registered Investment Adviser (RIA), and will will provide you with the opportunity to discuss your options with others in your field, educate yourself on the process of going independent, and learn from industry experts what it really takes to make this move.


Mr. Giachetti is scheduled to present at the series as well as offer a free one-on-one consultation to advisers to discuss an individual's specific legal requirements when going independent. You can access additional information on the workshop, as well as registration information, here.

Kerviel Haunts Credit Agricole, HSBC and Toronto-Dominion Too

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Bill Singer, Shareholder and member of Stark & Stark's Securities group, was quoted in the article Kerviel Haunts Credit Agricole, HSBC and Toronto-Dominion Too on Bloomberg.com.

Mr. Singer was interviewed for the article and credits the recent $7.1 billion loss incurred by a Societe Generale trader through his fraudulent trading practices to an inexperience in young traders who don't always know that it's often better to take a short loss than to try to trade their way out .

You can read the full article here.

Wall St. Fear: Bond Traders Dread Layoffs, Lost Bonuses

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Bill Singer, Shareholder and member of Stark & Stark's Securites Practice Group, was quoted in the article, Wall St. Fear: Bond Traders Dread Layoffs, Lost Bonuses in the Sunday September 2, 2007 edition of the New York Post.

You can read the full article here.

So You Think Your Marketing Practices Are Compliant?

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Thomas Giachetti, Chair and Shareholder of Stark & Stark's Securities Compliance & Arbitration Group, authored the article So You Think Your Marketing Practices Are Compliant? for the May/June issue of the IMCA Monitor.

You can read the full article here.

End the Occupation of Wall Street

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Bill Singer, Shareholder of Stark & Stark's Securities Practice Group, authored the article, End the Occupation of Wall Street, for the May 18th edition of the New Jersey Law Journal.

You can read the article here.

Small firms upset by an NASD hiring

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Bill Singer, Shareholder in Stark & Stark Securities Practice Group, was quoted in the article, Small Firms Upset by an NASD Hiring, in yesterday's Investment News.

You can read the full story here.

Hey There Insurance Agent: We Can Make You An RIA

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Bill Singer, Shareholder in Stark & Stark's Securities Compliance & Arbitration Group, was quoted in Monday's Investment News article, Hey There Insurance Agent: We Can Make You An RIA.

You can read the full article here.

Insurers said to steer reps to in-house wares

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Bill Singer, Shareholder of Stark & Stark's Securities Practice Group, was quoted in Insurers said to steer reps to in-house wares in the March 5, 2007 article in Investment News.

You can read the article here.

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Older Entries

March 19, 2007 — Leaving Your Brokerage Firm? Know Your Rights

February 7, 2007 — Use of Sub-Advisers and Hedge Fund Managers

February 5, 2007 — When Should You Register with the SEC?

January 18, 2007 — NASD/NYSE Consolidation

January 15, 2007 — Changes on Wall Street

January 12, 2007 — NASD/NYSE Regulatory Merger

January 10, 2007 — Investment Adviser Compliance Update - Winter 2007

January 4, 2007 — Securities Regulation May Change

January 3, 2007 — Hedge Funds - New Hedge Fund Rules Proposed by the SEC

December 15, 2006 — New Jersey Legal Update - Podcast # 54

December 14, 2006 — SEC Proposing New Hedge Fund Regulations

December 12, 2006 — Practice Management for Financial Advisors

December 11, 2006 — Hedge Funds to Self-Regulate?

December 1, 2006 — New Jersey Legal Update - Podcast # 52

October 24, 2006 — Operational Risk Management

October 5, 2006 — Investment Adviser Compliance Update - Fall 2006

October 3, 2006 — Insurer Claims Hedge Fund Depressed Stock Prices

September 22, 2006 — New Jersey Legal Update - Podcast # 47

August 29, 2006 — Class Action Suits

August 11, 2006 — New Jersey Legal Update - Podcast # 42

August 10, 2006 — SEC Chairman Wants More Hedge Fund Regulation

August 8, 2006 — Proposed Law May Allow Hedge Funds to Accept and Manage More Pension Money

August 4, 2006 — Investment Advisors - Complacency and Compliance

July 17, 2006 — Giachetti in "Expert's Corner" in Investment Advisor Magazine

June 30, 2006 — New Jersey Legal Update - Podcast # 38

June 29, 2006 — Fiduciary Obligations of Dually Registered Representatives

June 2, 2006 — New Jersey Legal Update - Podcast # 35

June 1, 2006 — Investment Adviser Compliance Update - Summer 2006

May 30, 2006 — IA Compliance Seminar & SEC Audit Survival Guide

April 12, 2006 — CMG Capital Named as a Top Performing Hedge Fund

March 30, 2006 — Investment Adviser Compliance Update - Spring 2006

March 29, 2006 — NASD Rule Makes Removing Complaints More Difficult for Brokers

March 22, 2006 — Hedge Fund Compliance Examinations

February 6, 2006 — Registered Investment Adviser 13F Disclosure Requirements: Hedge Funds Included

February 1, 2006 — The Annual Review Requirement of Adviser Policies and Procedures

January 23, 2006 — Investment Adviser Compliance Update - Winter 2006

January 6, 2006 — New Jersey Legal Update - Podcast # 21

November 9, 2005 — SEC Reevaluated Examination of Investment Advisers

November 9, 2005 — SEC Reevalutes Examination of Investment Advisers

November 9, 2005 — Investment Adviser Compensation for Referrals

October 27, 2005 — DUI Can Prevent a Registered Rep from Associating with a Broker/Dealer

October 25, 2005 — Investment Adviser Compliance Update - Fall 2005

October 21, 2005 — New Jersey Legal Update - Podcast #15

October 21, 2005 — OBAs - Recurring Trap for the Good (but Unsuspecting) Rep

October 20, 2005 — Giachetti in Schwab Compliance Review

October 18, 2005 — Developments in Federal and State Securities Laws

October 18, 2005 — New Filing Requirement for Investment Advisers and Broker-Dealers

October 18, 2005 — Developments in Federal and State Securities Laws

October 5, 2005 — Investment Adviser Registration Renewals

October 5, 2005 — Investment Adviser Registration Renewals

September 22, 2005 — Branch Manager Prevails in "Failure to Supervise" Enforcement Action

September 12, 2005 — Warning Signs of Possible Hedge Fund Fraud

September 1, 2005 — Preparing For a SEC Examination

August 10, 2005 — SEC Rule 206(4)-7

June 29, 2005 — Investment Adviser Compliance Update - Summer 2005

June 13, 2005 — Asset Pricing and Fund Valuation Practices in the Hedge Fund Industry

June 7, 2005 — Restrictive Covenants and Non-Solicitation Agreements in the Investment Advisory Industry

June 1, 2005 — Open Season on Hedge Fund Advisers?

May 20, 2005 — E-mail Retention Requirements for Investment Advisors

May 2, 2005 — Investment Advisor Compliance

April 2, 2005 — Independent Investment Advisors Demonstrate Demand for Schwab Advisor Transition Support Services

March 28, 2005 — SEC Adopts Rule on Registration of Certain Hedge Funds Advisers

December 20, 2004 — Broker-Dealer Arbitration

December 14, 2004 — NASD Anti-Money Laundering Regulations

December 14, 2004 — NASD Anti-Money Laundering Regulations

November 1, 2004 — New SEC Rule for Hedge Fund Managers

October 28, 2004 — SEC's adoption of Rule 206(4)-7

September 2, 2004 — Public Offering Materials

September 2, 2004 — Securities Fraud

February 12, 2004 — Electronic Record Keeping for Investment Advisors