0
Skip to Content
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
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
NASAA’s Annual List Identifies Top Investor Threats for 2023
April 2023 Giarrusso Law Group LLC 4/24/23 April 2023 Giarrusso Law Group LLC 4/24/23

NASAA’s Annual List Identifies Top Investor Threats for 2023

Read More
Investor Alert — North American Securities Organization Issues Guidance Regarding Account Reassignment
May 2022 Giarrusso Law Group LLC 5/27/22 May 2022 Giarrusso Law Group LLC 5/27/22

Investor Alert — North American Securities Organization Issues Guidance Regarding Account Reassignment

Read More
Advisor Alert — FINRA Imposes Stricter Obligations on Member Firms Concerning Recidivist Brokers
May 2021 Giarrusso Law Group LLC 5/24/21 May 2021 Giarrusso Law Group LLC 5/24/21

Advisor Alert — FINRA Imposes Stricter Obligations on Member Firms Concerning Recidivist Brokers

Read More
New Hampshire Reaches Record Settlement with Merrill Lynch and Former Broker Charles Kenahan
December 2020 Giarrusso Law Group LLC 12/18/20 December 2020 Giarrusso Law Group LLC 12/18/20

New Hampshire Reaches Record Settlement with Merrill Lynch and Former Broker Charles Kenahan

Read More
Robert Meyer of Monmouth Capital Management Sanctioned by FINRA
December 2020 Giarrusso Law Group LLC 12/5/20 December 2020 Giarrusso Law Group LLC 12/5/20

Robert Meyer of Monmouth Capital Management Sanctioned by FINRA

Read More
Former Norwalk, CT Financial Advisor James T. Booth Receives 42-Month Sentence for Ponzi Scheme
December 2020 Giarrusso Law Group LLC 12/1/20 December 2020 Giarrusso Law Group LLC 12/1/20

Former Norwalk, CT Financial Advisor James T. Booth Receives 42-Month Sentence for Ponzi Scheme

Read More
FINRA Enforcement Alleges Former Laidlaw Broker Utilized High-Cost In-and-Out Trading Strategy
November 2020 Giarrusso Law Group LLC 11/27/20 November 2020 Giarrusso Law Group LLC 11/27/20

FINRA Enforcement Alleges Former Laidlaw Broker Utilized High-Cost In-and-Out Trading Strategy

Read More
Former Ohio Financial Advisor Barred from Securities Industry Following Alleged Excessive Trading
November 2020 Giarrusso Law Group LLC 11/18/20 November 2020 Giarrusso Law Group LLC 11/18/20

Former Ohio Financial Advisor Barred from Securities Industry Following Alleged Excessive Trading

Read More
Former David A. Noyes Stockbroker Permitted to Resign Following Alleged Misconduct
October 2020 Giarrusso Law Group LLC 10/25/20 October 2020 Giarrusso Law Group LLC 10/25/20

Former David A. Noyes Stockbroker Permitted to Resign Following Alleged Misconduct

Read More
Former Glastonbury, CT Financial Advisor Barred Following Alleged $330,000 Theft of Client Funds
October 2020 Giarrusso Law Group LLC 10/23/20 October 2020 Giarrusso Law Group LLC 10/23/20

Former Glastonbury, CT Financial Advisor Barred Following Alleged $330,000 Theft of Client Funds

Read More
Former Advisor Barred from Industry Following Alleged Multi-Million Dollar Theft of Client Funds
October 2020 Giarrusso Law Group LLC 10/20/20 October 2020 Giarrusso Law Group LLC 10/20/20

Former Advisor Barred from Industry Following Alleged Multi-Million Dollar Theft of Client Funds

Read More
Former Aegis Stockbroker Has Disclosed Four Customer Disputes
October 2020 Giarrusso Law Group LLC 10/14/20 October 2020 Giarrusso Law Group LLC 10/14/20

Former Aegis Stockbroker Has Disclosed Four Customer Disputes

Read More
Advisor Alert — FINRA Expungement Overhaul Presents New Requirements and Challenges for Brokers
October 2020 Giarrusso Law Group LLC 10/13/20 October 2020 Giarrusso Law Group LLC 10/13/20

Advisor Alert — FINRA Expungement Overhaul Presents New Requirements and Challenges for Brokers

Read More
WestPark Capital Stockbroker’s Sale of Illiquid Promissory Notes Results in 15-Month Suspension
October 2020 Giarrusso Law Group LLC 10/12/20 October 2020 Giarrusso Law Group LLC 10/12/20

WestPark Capital Stockbroker’s Sale of Illiquid Promissory Notes Results in 15-Month Suspension

Read More
Former Grand Rapids Financial Advisor Receives Industry Bar Following FINRA Investigation
October 2020 Giarrusso Law Group LLC 10/8/20 October 2020 Giarrusso Law Group LLC 10/8/20

Former Grand Rapids Financial Advisor Receives Industry Bar Following FINRA Investigation

Read More
Older Posts

 

Terms of Use

  1. The information contained on this website is provided solely for informational purposes and is considered attorney advertising. Prior results do not guarantee similar outcomes. Information on this website should be regarded as opinion based on publicly available information and not as fact.

  2. This information is not intended to create, and receipt of this information does not constitute, an attorney-client relationship between you and Giarrusso Law Group LLC or any of its attorneys. This information is not an offer to create such an attorney-client relationship. This information should not be relied upon or construed as legal advice. You should not act or elect to act based upon this information without seeking professional counsel regarding your situation.

  3. When initially contacting us via the website’s contact form, e-mail, telephone, or by any other means, do not include any confidential or sensitive information.

  4. Contacting us, by itself, does not create an attorney-client relationship. Contacting us does not guarantee that the firm will undertake representation of you.

  5. Giarrusso Law Group LLC is a national law firm that accepts cases throughout the United States, subject to individual state bar rules. Giarrusso Law Group LLC may partner with law firms located in other jurisdictions, as needed, on a case-by-case basis, on behalf of clients located in but not limited to: New York City-Long Island-Jersey City-Newark, Atlanta-Sandy Springs-Alpharetta, Austin-Round Rock-Georgetown, Baltimore-Columbia-Towson, Boston-Cambridge-Newton, Charlotte-Concord-Gastonia, Chicago-Naperville-Elgin, Cincinnati, Dallas-Fort Worth-Arlington, Denver-Aurora-Lakewood, Detroit-Warren-Dearborn, Houston-The Woodlands-Sugar Land, Las Vegas-Henderson-Paradise, Los Angeles-Long Beach-Anaheim, Miami-Fort Lauderdale-West Palm Beach, Minneapolis-St. Paul-Bloomington, Orlando-Kissimmee-Sanford, Philadelphia-Camden-Wilmington, Phoenix-Mesa-Chandler, Pittsburgh, Portland-Vancouver-Hillsboro, Riverside-San Bernardino-Ontario, Sacramento-Roseville-Folsom, San Antonio-New Braunfels, San Diego-Chula Vista-Carlsbad, San Francisco-Oakland-Berkeley, Seattle-Tacoma-Bellevue, St. Louis, Tampa-St. Petersburg-Clearwater, and Washington DC-Arlington-Alexandria.

© 2020-2024 Giarrusso Law Group LLC