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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
House Passes Bill Expanding Pool of Accredited Investors
June 2023 Giarrusso Law Group LLC 6/6/23 June 2023 Giarrusso Law Group LLC 6/6/23

House Passes Bill Expanding Pool of Accredited Investors

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Investor Alert — SEC Proposes to Shorten Trade Settlement Cycle
March 2022 Giarrusso Law Group LLC 3/31/22 March 2022 Giarrusso Law Group LLC 3/31/22

Investor Alert — SEC Proposes to Shorten Trade Settlement Cycle

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Regulatory Alert — FINRA’s 2021 Industry Snapshot Points to Challenges for Broker-Dealer Model
June 2021 Giarrusso Law Group LLC 6/17/21 June 2021 Giarrusso Law Group LLC 6/17/21

Regulatory Alert — FINRA’s 2021 Industry Snapshot Points to Challenges for Broker-Dealer Model

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Former Madison Avenue Broker Subject of Numerous GPB-related Investor Complaints
June 2021 Giarrusso Law Group LLC 6/7/21 June 2021 Giarrusso Law Group LLC 6/7/21

Former Madison Avenue Broker Subject of Numerous GPB-related Investor Complaints

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Massachusetts Case Against Robinhood May Proceed, State Court Judge Rules
May 2021 Giarrusso Law Group LLC 5/28/21 May 2021 Giarrusso Law Group LLC 5/28/21

Massachusetts Case Against Robinhood May Proceed, State Court Judge Rules

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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

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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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Robinhood “Test Case” in Massachusetts Explores Brokerages’ Duties to Self-Directed Customers
April 2021 Giarrusso Law Group LLC 4/23/21 April 2021 Giarrusso Law Group LLC 4/23/21

Robinhood “Test Case” in Massachusetts Explores Brokerages’ Duties to Self-Directed Customers

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Advisor Alert - Former Wells Fargo Broker Prevails in Expungement Dispute
April 2021 Giarrusso Law Group LLC 4/19/21 April 2021 Giarrusso Law Group LLC 4/19/21

Advisor Alert - Former Wells Fargo Broker Prevails in Expungement Dispute

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FINRA’s 2021 Examination and Risk Monitoring Report Highlights Important Issues
March 2021 Giarrusso Law Group LLC 3/24/21 March 2021 Giarrusso Law Group LLC 3/24/21

FINRA’s 2021 Examination and Risk Monitoring Report Highlights Important Issues

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