Securities Compliance & Arbitration

The Date for Full Compliance with the SEC’s New Marketing Rule is Rapidly Approaching! Is Your Firm Ready?

By The Securities Compliance Team on October 5th, 2022

Posted in Securities Compliance & Arbitration

Background of the New Marketing Rule As most Registered Investment Adviser firms (“RIAs” or “Advisers”) are aware, the Securities and Exchange Commission (SEC) adopted amendments to existing Rule 206(4)-1 (the advertising rule), under the Investment Advisers Act of 1940 (the “Act”), which modernized rules relative to RIA advertising and solicitation… Continue reading

COVID-19: Balancing Privacy Laws and Privacy Rights with Public Welfare

By The Securities Compliance Team on March 16th, 2020

Posted in Securities Compliance & Arbitration

The presence of the Novel Coronavirus (“2019-nCoV” or more commonly known as “COVID-19”) is unprecedented in modern day times, as most of us have never experienced a global health threat. There are many unknowns with COVID-19 including, to what extent businesses are permitted to collect and share personal information and… Continue reading

Shareholder Thomas D. Giachetti Published Article in Investment Advisor

By Stark & Stark on November 9th, 2015

Posted in Securities Compliance & Arbitration, Stark News

Shareholder Thomas D. Giachetti, Chair of the Securities Practice Group, authored the article SEC Clarifies RIAs’ Cybersecurity Obligations, which was published in the November issue of Investment Advisor. The article explains how the Securities and Exchange Commission’s (SEC) recent cybersecurity focus will affect RIAs. The SEC’s Office of Compliance Inspections… Continue reading

Multiple locations to better serve your needs—

Hamilton, NJ

100 American Metro Boulevard
Hamilton, NJ 08619
Phone: 609.896.9060
Secondary phone: 800.535.3425
Fax: 609.896.0629
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Marlton, NJ

40 Lake Center, 401 NJ-73, Suite 130
Marlton, NJ 08053
Phone: 856.874.4443
Secondary phone: 888.241.7424
Fax: 856.874.0133
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Yardley, PA

777 Township Line Road, Suite 120
Yardley, PA 19067
Phone: 267.907.9600
Fax: 267.907.9659
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New York, NY

5 Pennsylvania Plaza 23rd Floor
New York, NY 10001
Phone: 800.535.3425
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Philadelphia, PA

The Bellevue 200 S Broad St #600
Philadelphia, PA 19102
Phone: 267.907.9600
Secondary phone: 800.535.3425
Fax: 215.564.6245
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Bridgeton, NJ

78 W Broad St
Bridgeton, NJ 08302
Phone: 856.874.4443
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