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Michael J. Giarrusso
Fredric A. Leslie
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Giarrusso Law Group LLC
Home
About Us
Team
Michael J. Giarrusso
Fredric A. Leslie
For Investors
BDCs
GPB Capital
GWG L Bonds
Non-Traded REITs
Oil and Gas
Ponzi Schemes
Private Placements
Variable Annuities
For Advisors
Form U5 Expungement
Stockbroker Transitions
Regulatory Inquiries
Promissory Note Defense
Other Disputes
Contact Us
Blog
Contact Us
Home
About Us
Folder: Team
Back
Michael J. Giarrusso
Fredric A. Leslie
Folder: For Investors
Back
BDCs
GPB Capital
GWG L Bonds
Non-Traded REITs
Oil and Gas
Ponzi Schemes
Private Placements
Variable Annuities
Folder: For Advisors
Back
Form U5 Expungement
Stockbroker Transitions
Regulatory Inquiries
Promissory Note Defense
Other Disputes
Contact Us
Blog
Contact Us
Advisor Alert — Recent FINRA Case Highlights Potential Pitfalls for Transitioning Financial Advisors
September 2020 Giarrusso Law Group LLC 9/30/20 September 2020 Giarrusso Law Group LLC 9/30/20

Advisor Alert — Recent FINRA Case Highlights Potential Pitfalls for Transitioning Financial Advisors

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Pre-IPO Investors in Recently Listed New York City REIT Likely Face Substantial Losses
September 2020 Giarrusso Law Group LLC 9/29/20 September 2020 Giarrusso Law Group LLC 9/29/20

Pre-IPO Investors in Recently Listed New York City REIT Likely Face Substantial Losses

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SEC Complaint Alleges Costly In-and-Out Trading Strategy by Mineola Stockbroker
September 2020 Giarrusso Law Group LLC 9/28/20 September 2020 Giarrusso Law Group LLC 9/28/20

SEC Complaint Alleges Costly In-and-Out Trading Strategy by Mineola Stockbroker

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Walton Group Land Fund Investors May Have Recourse to Recover Investment Losses
September 2020 Giarrusso Law Group LLC 9/25/20 September 2020 Giarrusso Law Group LLC 9/25/20

Walton Group Land Fund Investors May Have Recourse to Recover Investment Losses

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Maplewood, New Jersey Registered Investment Adviser Accused by SEC of Cherry-Picking Securities Trades
September 2020 Giarrusso Law Group LLC 9/24/20 September 2020 Giarrusso Law Group LLC 9/24/20

Maplewood, New Jersey Registered Investment Adviser Accused by SEC of Cherry-Picking Securities Trades

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Investor Update — Former GPB Capital Holdings CCO, Michael Cohn, Pleads Guilty to Stealing Government Information
September 2020 Giarrusso Law Group LLC 9/22/20 September 2020 Giarrusso Law Group LLC 9/22/20

Investor Update — Former GPB Capital Holdings CCO, Michael Cohn, Pleads Guilty to Stealing Government Information

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Newton, MA Financial Advisor Subject of Six Customer Disputes
September 2020 Giarrusso Law Group LLC 9/21/20 September 2020 Giarrusso Law Group LLC 9/21/20

Newton, MA Financial Advisor Subject of Six Customer Disputes

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Former Wells Fargo Broker of Plano, Texas Receives Industry Bar
September 2020 Giarrusso Law Group LLC 9/18/20 September 2020 Giarrusso Law Group LLC 9/18/20

Former Wells Fargo Broker of Plano, Texas Receives Industry Bar

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Investor Alert - Leveraged, Inverse, and Leveraged-Inverse ETFs May Facilitate Outsized Losses
September 2020 Giarrusso Law Group LLC 9/17/20 September 2020 Giarrusso Law Group LLC 9/17/20

Investor Alert - Leveraged, Inverse, and Leveraged-Inverse ETFs May Facilitate Outsized Losses

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Investors in FS Energy and Power Fund May Have Recourse to Recover Investment Losses
September 2020 Giarrusso Law Group LLC 9/14/20 September 2020 Giarrusso Law Group LLC 9/14/20

Investors in FS Energy and Power Fund May Have Recourse to Recover Investment Losses

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Rochester, New York Broker Suspended by FINRA in Connection with Allegations of Variable Annuity Switching
September 2020 Giarrusso Law Group LLC 9/10/20 September 2020 Giarrusso Law Group LLC 9/10/20

Rochester, New York Broker Suspended by FINRA in Connection with Allegations of Variable Annuity Switching

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California Broker Receives Industry Bar Concerning Alleged Fraudulent Investment Recommendations
September 2020 Giarrusso Law Group LLC 9/8/20 September 2020 Giarrusso Law Group LLC 9/8/20

California Broker Receives Industry Bar Concerning Alleged Fraudulent Investment Recommendations

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Investors in NorthStar Healthcare Income, Inc. Have Limited Liquidity Options and Likely Face Substantial Losses
September 2020 Giarrusso Law Group LLC 9/7/20 September 2020 Giarrusso Law Group LLC 9/7/20

Investors in NorthStar Healthcare Income, Inc. Have Limited Liquidity Options and Likely Face Substantial Losses

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Pre-IPO FSKR Investors May Have FINRA Arbitration Claims to Recover Losses
September 2020 Giarrusso Law Group LLC 9/3/20 September 2020 Giarrusso Law Group LLC 9/3/20

Pre-IPO FSKR Investors May Have FINRA Arbitration Claims to Recover Losses

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Former Kestra Broker Barred by FINRA Following Investigation into Potentially Fraudulent and Unauthorized Transactions
September 2020 Giarrusso Law Group LLC 9/1/20 September 2020 Giarrusso Law Group LLC 9/1/20

Former Kestra Broker Barred by FINRA Following Investigation into Potentially Fraudulent and Unauthorized Transactions

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