Securities Blog Posts

  • Shareholder Thomas D. Giachetti Published Article in Investment Advisor

    November 9, 2015

    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 & Examinations (OCIE) released a Risk ...

  • Stark & Stark Shareholder Brian A. Carlis Featured in Wall Street Journal Article on Finra

    May 29, 2013

    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.

 

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