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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
SEC Charges Former LPL Advisor Bradley Goodbred with Defrauding Elderly Client of $1.2 Million
October 2022 Giarrusso Law Group LLC 10/11/22 October 2022 Giarrusso Law Group LLC 10/11/22

SEC Charges Former LPL Advisor Bradley Goodbred with Defrauding Elderly Client of $1.2 Million

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SEC Charges Former LPL Advisor Eric Hollifield With Misappropriating $1.7 Million
August 2022 Giarrusso Law Group LLC 8/26/22 August 2022 Giarrusso Law Group LLC 8/26/22

SEC Charges Former LPL Advisor Eric Hollifield With Misappropriating $1.7 Million

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Illinois Advisor Receives Industry Bar Following Nearly $1 Million Theft from Elderly Clients
October 2021 Giarrusso Law Group LLC 10/7/21 October 2021 Giarrusso Law Group LLC 10/7/21

Illinois Advisor Receives Industry Bar Following Nearly $1 Million Theft from Elderly Clients

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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

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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

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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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Investors Solicited by Former Stockbroker, James T. Flynn, May Have Recourse to Recover Losses
October 2020 Giarrusso Law Group LLC 10/7/20 October 2020 Giarrusso Law Group LLC 10/7/20

Investors Solicited by Former Stockbroker, James T. Flynn, May Have Recourse to Recover Losses

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Former Wells Fargo Broker of Plano, Texas Receives Industry Bar
September 2020 Giarrusso Law Group LLC 9/18/20 September 2020 Giarrusso Law Group LLC 9/18/20

Former Wells Fargo Broker of Plano, Texas Receives Industry Bar

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California Broker Receives Industry Bar Concerning Alleged Fraudulent Investment Recommendations
September 2020 Giarrusso Law Group LLC 9/8/20 September 2020 Giarrusso Law Group LLC 9/8/20

California Broker Receives Industry Bar Concerning Alleged Fraudulent Investment Recommendations

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Former Kestra Broker Barred by FINRA Following Investigation into Potentially Fraudulent and Unauthorized Transactions
September 2020 Giarrusso Law Group LLC 9/1/20 September 2020 Giarrusso Law Group LLC 9/1/20

Former Kestra Broker Barred by FINRA Following Investigation into Potentially Fraudulent and Unauthorized Transactions

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Former Hilliard Lyons Stockbroker Barred from Securities Industry in Wake of FINRA Investigation
August 2020 Giarrusso Law Group LLC 8/24/20 August 2020 Giarrusso Law Group LLC 8/24/20

Former Hilliard Lyons Stockbroker Barred from Securities Industry in Wake of FINRA Investigation

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Investor Alert — Former Boca Raton Newbridge Broker Receives Industry Bar
August 2020 Giarrusso Law Group LLC 8/3/20 August 2020 Giarrusso Law Group LLC 8/3/20

Investor Alert — Former Boca Raton Newbridge Broker Receives Industry Bar

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Former Raymond James Broker, Frederick M. Stow, Charged With Allegedly Defrauding Senior Customers
July 2020 Giarrusso Law Group LLC 7/24/20 July 2020 Giarrusso Law Group LLC 7/24/20

Former Raymond James Broker, Frederick M. Stow, Charged With Allegedly Defrauding Senior Customers

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