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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
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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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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Advisor Alert — Promissory Note Collection Disputes Likely to Increase in Current Market Conditions
November 2020 Giarrusso Law Group LLC 11/16/20 November 2020 Giarrusso Law Group LLC 11/16/20

Advisor Alert — Promissory Note Collection Disputes Likely to Increase in Current Market Conditions

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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

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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

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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

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San Diego Stockbroker and Radio Host Has Thirteen Customer Disputes
October 2020 Giarrusso Law Group LLC 10/1/20 October 2020 Giarrusso Law Group LLC 10/1/20

San Diego Stockbroker and Radio Host Has Thirteen Customer Disputes

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Advisor Alert — Recent FINRA Case Highlights Potential Pitfalls for Transitioning Financial Advisors
September 2020 Giarrusso Law Group LLC 9/30/20 September 2020 Giarrusso Law Group LLC 9/30/20

Advisor Alert — Recent FINRA Case Highlights Potential Pitfalls for Transitioning Financial Advisors

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Maplewood, New Jersey Registered Investment Adviser Accused by SEC of Cherry-Picking Securities Trades
September 2020 Giarrusso Law Group LLC 9/24/20 September 2020 Giarrusso Law Group LLC 9/24/20

Maplewood, New Jersey Registered Investment Adviser Accused by SEC of Cherry-Picking Securities Trades

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Newton, MA Financial Advisor Subject of Six Customer Disputes
September 2020 Giarrusso Law Group LLC 9/21/20 September 2020 Giarrusso Law Group LLC 9/21/20

Newton, MA Financial Advisor Subject of Six Customer Disputes

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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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Former NEXT Financial Group Stockbroker Charles C. Kulch Charged with Overconcentrating Investors in Complex and Illiquid Financial Products
July 2020 Giarrusso Law Group LLC 7/29/20 July 2020 Giarrusso Law Group LLC 7/29/20

Former NEXT Financial Group Stockbroker Charles C. Kulch Charged with Overconcentrating Investors in Complex and Illiquid Financial Products

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Former LPL Broker and Investment Adviser, Dain Stokes, Barred from Securities Industry — Stokes Accused of Defrauding Clients Through a Bogus Charity
July 2020 Giarrusso Law Group LLC 7/22/20 July 2020 Giarrusso Law Group LLC 7/22/20

Former LPL Broker and Investment Adviser, Dain Stokes, Barred from Securities Industry — Stokes Accused of Defrauding Clients Through a Bogus Charity

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