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Giarrusso Law Group LLC
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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
NASAA 2021 Enforcement Report Highlights Investor Threats Impacting Seniors
December 2021 Giarrusso Law Group LLC 12/3/21 December 2021 Giarrusso Law Group LLC 12/3/21

NASAA 2021 Enforcement Report Highlights Investor Threats Impacting Seniors

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NASAA 2020 Enforcement Report Highlights Increased Actions by State Securities Regulators
December 2020 Giarrusso Law Group LLC 12/10/20 December 2020 Giarrusso Law Group LLC 12/10/20

NASAA 2020 Enforcement Report Highlights Increased Actions by State Securities Regulators

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Wells Fargo Sanctioned in Excess of $2 Million by FINRA Enforcement for Variable Annuity Switching
November 2020 Giarrusso Law Group LLC 11/12/20 November 2020 Giarrusso Law Group LLC 11/12/20

Wells Fargo Sanctioned in Excess of $2 Million by FINRA Enforcement for Variable Annuity Switching

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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

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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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