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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
Investor Alert - Record Margin Debt Points to Highly Leveraged Stock Market
May 2021 Giarrusso Law Group LLC 5/20/21 May 2021 Giarrusso Law Group LLC 5/20/21

Investor Alert - Record Margin Debt Points to Highly Leveraged Stock Market

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Former LPL Advisor, Matthew Clason, Pleads Guilty to Wire Fraud in Connecticut District Court
May 2021 Giarrusso Law Group LLC 5/19/21 May 2021 Giarrusso Law Group LLC 5/19/21

Former LPL Advisor, Matthew Clason, Pleads Guilty to Wire Fraud in Connecticut District Court

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David Lerner Stockbroker, Lawrence Merl, Subject of Pending Customer Dispute Related to Energy 11
May 2021 Giarrusso Law Group LLC 5/6/21 May 2021 Giarrusso Law Group LLC 5/6/21

David Lerner Stockbroker, Lawrence Merl, Subject of Pending Customer Dispute Related to Energy 11

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SagePoint Financial Broker Cubby Bice Subject of Three Pending Customer Disputes
April 2021 Giarrusso Law Group LLC 4/16/21 April 2021 Giarrusso Law Group LLC 4/16/21

SagePoint Financial Broker Cubby Bice Subject of Three Pending Customer Disputes

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Spartan Capital Financial Advisor Sanctioned by FINRA in Wake of Excessive Trading Allegations
March 2021 Giarrusso Law Group LLC 3/22/21 March 2021 Giarrusso Law Group LLC 3/22/21

Spartan Capital Financial Advisor Sanctioned by FINRA in Wake of Excessive Trading Allegations

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NASAA Announces Regulatory Actions Against GPB Have Been Filed by Seven State Securities Agencies
March 2021 Giarrusso Law Group LLC 3/17/21 March 2021 Giarrusso Law Group LLC 3/17/21

NASAA Announces Regulatory Actions Against GPB Have Been Filed by Seven State Securities Agencies

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Mike Patatian Subject of FINRA Enforcement Action Concerning Non-Traded REIT Sales
March 2021 Giarrusso Law Group LLC 3/10/21 March 2021 Giarrusso Law Group LLC 3/10/21

Mike Patatian Subject of FINRA Enforcement Action Concerning Non-Traded REIT Sales

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Investor Alert - Former Beverly Hills Merrill Lynch Broker Receives Industry Bar
March 2021 Giarrusso Law Group LLC 3/8/21 March 2021 Giarrusso Law Group LLC 3/8/21

Investor Alert - Former Beverly Hills Merrill Lynch Broker Receives Industry Bar

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Worden Capital Management Pays Nearly $1.6 Million to FINRA for Alleged Account Churning
March 2021 Giarrusso Law Group LLC 3/2/21 March 2021 Giarrusso Law Group LLC 3/2/21

Worden Capital Management Pays Nearly $1.6 Million to FINRA for Alleged Account Churning

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Former VOYA Broker Subject of Ten Customer Disputes for Illiquid Alternative Products
March 2021 Giarrusso Law Group LLC 3/1/21 March 2021 Giarrusso Law Group LLC 3/1/21

Former VOYA Broker Subject of Ten Customer Disputes for Illiquid Alternative Products

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Plano, TX Financial Advisor, Jason Jaynes, Discloses Two Pending Customer Disputes
February 2021 Giarrusso Law Group LLC 2/26/21 February 2021 Giarrusso Law Group LLC 2/26/21

Plano, TX Financial Advisor, Jason Jaynes, Discloses Two Pending Customer Disputes

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David Lerner Broker, Michael Norton, Subject of FINRA Arbitration Related to Energy 11 Losses
February 2021 Giarrusso Law Group LLC 2/23/21 February 2021 Giarrusso Law Group LLC 2/23/21

David Lerner Broker, Michael Norton, Subject of FINRA Arbitration Related to Energy 11 Losses

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Aegis Financial Advisor, Thomas Duggan, Subject of Two Pending FINRA Arbitrations
February 2021 Giarrusso Law Group LLC 2/17/21 February 2021 Giarrusso Law Group LLC 2/17/21

Aegis Financial Advisor, Thomas Duggan, Subject of Two Pending FINRA Arbitrations

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Former Morgan Stanley Broker, Sumitro Pal, Subject of Four Pending Customer Disputes
February 2021 Giarrusso Law Group LLC 2/13/21 February 2021 Giarrusso Law Group LLC 2/13/21

Former Morgan Stanley Broker, Sumitro Pal, Subject of Four Pending Customer Disputes

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Former NPB Financial Advisor of Lake Isabella, CA Receives Industry Bar
February 2021 Giarrusso Law Group LLC 2/8/21 February 2021 Giarrusso Law Group LLC 2/8/21

Former NPB Financial Advisor of Lake Isabella, CA Receives Industry Bar

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