Securities Compliance & Arbitration
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Bill Singer, Shareholder and member of Stark & Stark's Securities group, was quoted in the article Kerviel Haunts Credit Agricole, HSBC and Toronto-Dominion Too on Bloomberg.com.
Mr. Singer was interviewed for the article and credits the recent $7.1 billion loss incurred by a Societe Generale trader through his fraudulent trading practices to an inexperience in young traders who don't always know that it's often better to take a short loss than to try to trade their way out .
You can read the full article here.
Written by Stark & Stark on February 13th, 2008 with comments disabled.
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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.
Written by Stark & Stark on April 26th, 2007 with comments disabled.
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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.
Written by Stark & Stark on March 19th, 2007 with comments disabled.
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Antonino Ciappina 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.
Written by New Jersey Law Blog on February 7th, 2007 with comments disabled.
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Antonino Ciappina 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.
Written by Stark & Stark on February 7th, 2007 with comments disabled.
Read more articles on and Securities Compliance & Arbitration and Media Placements.
Tom Giachetti authored "When Should You Register: A Guide for When 'Tweeners' Should Register with the SEC" for the Expert's Corner column of the February issue of Investment Advisor magazine.
Written by New Jersey Law Blog on February 5th, 2007 with comments disabled.
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Tom Giachetti authored "When Should You Register: A Guide for When 'Tweeners' Should Register with the SEC" for the Expert's Corner column of the February issue of Investment Advisor magazine.
Written by Stark & Stark on February 5th, 2007 with comments disabled.
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Securities Brokers are required to demonstrate the rationale for recommending a particular fund to an investor. When a registered representative recommends that his customer switch from one mutual fund to another, chances are good that the underlying motivation for the switch is that the recommended fund has a higher current yield than the fund currently held by the customer.
Written by New Jersey Law Blog on July 13th, 2006 with comments disabled.
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Suitability is a recurring enforcement issue. The fact that is a recurring issue suggests that suitability may not be entirely understood, particularly by new entrants in the industry.
Written by New Jersey Law Blog on July 11th, 2006 with comments disabled.
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An investment adviser’s fiduciary obligations can restrict a dually registered investment adviser representative and registered representative ("broker/adviser") from effecting certain brokerage transactions.
Written by New Jersey Law Blog on June 29th, 2006 with comments disabled.
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