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.
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.
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.
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.
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.
Continue Reading...Thomas Giachetti, Chair and Shareholder of Stark & Stark's Securities Practice Group, was quoted in the March 2007 TD Ameritrade Transition News article, titled, Thinking of Leaving Your Brokerage Firm and Going Solo? Make Sure You Know Your Rights. The article addresses several important issues advisors need to be aware of, including, when clients are free to follow you, and how to asses the financial costs that are associated with going solo.
You can read the article here.
Antonino Ciappina, a member of the Securities group, authored 13 F - Have You Counted All of Your Assets? Use of Sub-Advisers and Hedge Fund Managers for the January 2007 issue of The Active Manager. The Active Manager is the bi-monthly journal of the National Association of Active Investment Managers.
You can read the article here.
For the Expert's Corner column of the February issue of Investment Advisor magazine, Thomas Giachetti, Chair of the Securities Practice Group, authored When Should You Register: A Guide for When "Tweeners" Should Register with the SEC.
You can read the column here.
Bill Singer, a shareholder in the Securities Practice group, was quoted in Regulatory Union: A Joint NYSE/NASD Effort Could Increase Efficiency in Investment Dealers Digest (paid registration required).
Singer commented on the the NASD and New York Stock Exchange regulatory divisions consolidation plan.
Bill Singer, a shareholder in the Securities Practice group, was quoted in Eliot Spitzer's Rise to Gov. May Mark End of Wall St. Era in the January 8 Investor's Business Daily.
Spitzer, formerly attorney general of New York, has now been elected governor. He became well-known for working aggressively to reform Wall Street. Singer commented that "the SEC and the self-regulators hired by stock exchanges are breathing 'a deep sigh of relief' that Spitzer isn't looking over their shoulders anymore."
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