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  • Stephen A. Galletto

    Stephen A. Galletto

    Shareholder

    Stephen A. Galletto is a Shareholder and member of Stark & Stark’s Investment Management & Securities Practice Group, where he concentrates his practice on counseling financial service entities, including investment advisers, broker-dealers, public and private investment companies (e.g., mutual funds, hedge funds, etc.), insurance brokers/agents, CPA firms and their employees, on regulatory, compliance, liability, and litigation issues.

    Prior to joining Stark & Stark, Mr. Galletto gained extensive experience preparing and filing securities registration statements with the Securities Exchange Commission; assisting in the structuring, negotiating, and closing of reverse mergers; and assisting in the structuring of multi-million dollar PIPE financing deals while providing counsel to clients through the closing process.

    Bar/Court Admissions

    • New Jersey 
    • New York

    Education

    • J.D., Seton Hall University School of Law, 2007
    • B.S., Penn State University, 2002

    Thought Leadership

    • Presenter, Powers of Attorney, Executorship, and RIA Custody Implications: Real Cases and Lessons for RIAs. RIA Compliance and Legal Strategies Conference. December 4, 2025.
    • Presenter, Compliance Checklist for Success: Third Party Vendor Due Diligence. RIA Compliance and Legal Strategies Conference. December 4, 2025.
    • Presenter, Navigating M&A for RIAs: Strategies for Growth and Success. RIA Compliance and Legal Strategies Conference. December 4, 2025.
    • Presenter, Adviser Armor: Detecting and Preventing Financial Exploitation and Mastering Powers of Attorney. RIA Compliance and Legal Strategies Conference. September 24, 2024.
    • Presenter, Examination Evolution: A Fresh Look at SEC Exam Trends and Insights. RIA Compliance and Legal Strategies Conference. September 24, 2024.
    • Presenter, Defend, Detect, Prevent: Being Proactive About Cybersecurity, Client Data Protection, and Fraud Prevention. RIA Compliance and Legal Strategies Conference. September 24, 2024.
    • Presenter, Cybersecurity Pitfalls: New Cybersecurity Rules, Proper Use of AI, and a State of the Industry Surrounding a Spot Bitcoin ETF. RIA Compliance and Legal Strategies Conference. November 9, 2023.
    • Presenter, State of the RIA Regulatory Landscape. RIA Compliance and Legal Strategies Conference. November 9, 2023.
    • Presenter, Compliance and Disclosures: Highlighting the Importance of Properly Drafted ADV, Agreements, and Policies. RIA Compliance and Legal Strategies Conference. November 9, 2023.
    • Presenter, Cybersecurity Pitfalls: Do You Have a Plan in Place? RIA Compliance and Legal Strategies Conference. June 1, 2023.
    • Presenter, The RIA Workplace, What’s Next? RIA Compliance and Legal Strategies Conference. June 1, 2023.
    • Presenter, Growth Through Acquisitions: Considerations, Transitions, and Deals. RIA Compliance and Legal Strategies Conference. June 1, 2023.
    • Presenter, Compliance Battle Plan and Successfully Navigating Your Next Regulatory Exam: Achieving Compliance & Managing Risk. RIA Compliance and
      Legal Strategies Conference. June 1, 2023.
    • Presenter, Form ADV ““ Let’s Get it Done Right. Stark & Stark Webinar. January 13, 2022.
    • Speaker, Insider Engage Webinar. August 23, 2022.

    Publications

    Professional Organizations

    • Mercer County Bar Association

    Community Organizations

    • Millhill Foundation, Board Member
    Podcast
    April 27, 2026
    Registered investment advisers are operating in an environment where SEC exams, enforcement priorities, and technology risks continue to evolve. At...
    Podcast
    March 30, 2026
    SEC examinations often focus on how registered investment advisors design, implement, and document their compliance programs. In this episode of...
    Podcast
    February 24, 2026
    Registered investment advisors face increasing scrutiny under the SEC’s marketing rule, particularly around testimonials, endorsements,...
    Podcast
    January 13, 2026
    Technology is changing how registered investment advisers operate—and it’s creating new compliance pressure points. In this episode of Adviser...
    Podcast
    January 12, 2026
    This video, “The ADV Trap: Common Mistakes That Could Cost You—And How to Avoid Them,” offers an educational overview of how registered...

    Firm Highlights

    Stark & Stark Joins Growing Coalition of Law Firms in Defense of Constitutional Principles and the Independence of the Legal Profession

    Stark & Stark has joined hundreds of fellow law firms across the country in filing an amicus brief supporting Perkins Coie, WilmerHale, Jenner...

    Stark & Stark Attorneys Recognized as New Jersey “Super Lawyers” and “Rising Stars” in 2026

    Stark & Stark is pleased to announce that 15 of its attorneys have been selected for inclusion in the list of 2026 New Jersey Super Lawyers,...

    Bruce Stern, Esq. Secures $1,000,000 Settlement in Motor Vehicle Collision Case

    Bruce Stern, Esq. recently secured a $1,000,000 settlement in a motor vehicle collision case.* “This case highlights how quickly things can go...

    Deborah Dunn, Esq. Elected to Board of Directors for Angel Flight East

    Stark & Stark is pleased to announce that Deborah Dunn, Esq., Shareholder and Civil Trial Attorney, has been elected to the Board of Directors...

    Michael Jordan, Esq. Joins the Board of the Lawrence Township Community Foundation

    It is our pleasure to announce that Michael Jordan, Esq. has joined the board of the Lawrence Township Community Foundation, an organization...

    Stark & Stark Opens Newtown, Pennsylvania Location

    Stark & Stark announced the relocation of its Yardley, Pennsylvania office to a new location in Newtown, PA. The new office is now open and...

    Joseph Lemkin, Esq. Named to ROI-NJ Influencers: Power List 2026 – Law

    Stark & Stark is proud to share that Joseph Lemkin, Esq., Shareholder, has been named to the 2026 Influencers: Power List in the Law category...

    Jeffrey A. Krawitz, Esq. and Michael C. Ksiazek, Esq. Secure $1,000,000 Settlement in Medical Malpractice Wrongful Death Case

    Jeffrey A. Krawitz, Esq. and Michael C. Ksiazek, Esq. recently secured a $1,000,000 settlement in a medical malpractice wrongful death...

    Joseph Cullen, Esq. and Nicole Durso, Esq. Secure $2,000,000 Settlement in Personal Injury Matter

    Joseph Cullen, Esq. and Nicole Durso, Esq. recently secured a $2,000,000 settlement in a personal injury matter involving a pedestrian who was struck...

    Stark & Stark Welcomes Susan L. Swatski, Esq. to the Firm

    Continuing in its mission to provide its clients innovative legal solutions to meet their needs, Stark & Stark PC, announced today that Susan L....

    Tim Duggan Wins Eminent Domain Challenge – Case Dismissed

    We are pleased to share that Tim Duggan of our Condemnation, Redevelopment, and Eminent Domain Group was successful in protecting the owner of a...

    James Creegan, Esq. Appointed to Board of The 200 Club of Mercer County

    It is our pleasure to announce that James Creegan, Esq. has been appointed to the Board of Directors of The 200 Club of Mercer County, an...