Securities Compliance & Arbitration
Shareholder Thomas D. Giachetti Published Article in Investment Advisor
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
Stark & Stark Shareholder Brian A. Carlis Featured in Wall Street Journal Article on Finra
Posted in Securities Compliance & Arbitration, Stark Events, Stark News
Brian A. Carlis, Shareholder and member of Stark & Stark’s Securities Arbitration Group, was featured in the article, “Few RIAs Accept Finra Invitation,” published in the Wall Street Journal on May 29, 2013. Continue reading
