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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
Former SCF Securities Broker, Todd Petersen, Subject of Numerous Customer Complaints
September 2021 Giarrusso Law Group LLC 9/21/21 September 2021 Giarrusso Law Group LLC 9/21/21

Former SCF Securities Broker, Todd Petersen, Subject of Numerous Customer Complaints

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Former Aegis Stockbroker Sanctioned by FINRA for Excessive Trading
July 2021 Giarrusso Law Group LLC 7/16/21 July 2021 Giarrusso Law Group LLC 7/16/21

Former Aegis Stockbroker Sanctioned by FINRA for Excessive Trading

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Spartan Capital Broker, Marc Reda, Subject of FINRA Complaint Alleging Excessive Trading
July 2021 Giarrusso Law Group LLC 7/13/21 July 2021 Giarrusso Law Group LLC 7/13/21

Spartan Capital Broker, Marc Reda, Subject of FINRA Complaint Alleging Excessive Trading

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Glendale, CA Financial Advisor, Narith Long, Subject of Three Pending Customer Disputes
June 2021 Giarrusso Law Group LLC 6/23/21 June 2021 Giarrusso Law Group LLC 6/23/21

Glendale, CA Financial Advisor, Narith Long, Subject of Three Pending Customer Disputes

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Former Worden Capital Management Advisor Barred from Securities Industry by FINRA
June 2021 Giarrusso Law Group LLC 6/21/21 June 2021 Giarrusso Law Group LLC 6/21/21

Former Worden Capital Management Advisor Barred from Securities Industry by FINRA

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Former SagePoint Brokers Cynthia Komarek and Grant Birkley Barred by FINRA
June 2021 Giarrusso Law Group LLC 6/10/21 June 2021 Giarrusso Law Group LLC 6/10/21

Former SagePoint Brokers Cynthia Komarek and Grant Birkley Barred by FINRA

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Pinehurst, North Carolina Broker Mercer Hicks III Subject of FINRA Enforcement Action
June 2021 Giarrusso Law Group LLC 6/8/21 June 2021 Giarrusso Law Group LLC 6/8/21

Pinehurst, North Carolina Broker Mercer Hicks III Subject of FINRA Enforcement Action

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Long Island Broker Carl Antaki Subject of FINRA Investigation Alleging Excessive Trading
May 2021 Giarrusso Law Group LLC 5/25/21 May 2021 Giarrusso Law Group LLC 5/25/21

Long Island Broker Carl Antaki Subject of FINRA Investigation Alleging Excessive Trading

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Investor Alert - Scott Wayne Reed Barred from Securities Industry by FINRA
May 2021 Giarrusso Law Group LLC 5/10/21 May 2021 Giarrusso Law Group LLC 5/10/21

Investor Alert - Scott Wayne Reed Barred from Securities Industry by FINRA

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Former Aegis Broker Subject of FINRA Complaint Alleging Excessive Trading
April 2021 Giarrusso Law Group LLC 4/27/21 April 2021 Giarrusso Law Group LLC 4/27/21

Former Aegis Broker Subject of FINRA Complaint Alleging Excessive Trading

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FINRA Sanctions Independent Financial Group for Broker’s Unsuitable Recommendations
April 2021 Giarrusso Law Group LLC 4/14/21 April 2021 Giarrusso Law Group LLC 4/14/21

FINRA Sanctions Independent Financial Group for Broker’s Unsuitable Recommendations

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Former Principal Securities Financial Advisor, John Krohn, Subject of Three Pending Disputes
April 2021 Giarrusso Law Group LLC 4/12/21 April 2021 Giarrusso Law Group LLC 4/12/21

Former Principal Securities Financial Advisor, John Krohn, Subject of Three Pending Disputes

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FINRA Suspends Former JP Morgan Broker for Unauthorized Trading in Senior Customer’s Account
April 2021 Giarrusso Law Group LLC 4/7/21 April 2021 Giarrusso Law Group LLC 4/7/21

FINRA Suspends Former JP Morgan Broker for Unauthorized Trading in Senior Customer’s Account

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Former Staten Island Broker, George Warner, Receives Securities Industry Bar
April 2021 Giarrusso Law Group LLC 4/6/21 April 2021 Giarrusso Law Group LLC 4/6/21

Former Staten Island Broker, George Warner, Receives Securities Industry Bar

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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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