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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
Investor Alert — North American Securities Organization Issues Guidance Regarding Account Reassignment
May 2022 Giarrusso Law Group LLC 5/27/22 May 2022 Giarrusso Law Group LLC 5/27/22

Investor Alert — North American Securities Organization Issues Guidance Regarding Account Reassignment

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NASAA’s Annual List Identifies Top Investor Threats for 2022
January 2022 Giarrusso Law Group LLC 1/26/22 January 2022 Giarrusso Law Group LLC 1/26/22

NASAA’s Annual List Identifies Top Investor Threats for 2022

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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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Advisor Alert - Client Privacy Rules Create Potential Pitfalls for Financial Advisors
March 2021 Giarrusso Law Group LLC 3/15/21 March 2021 Giarrusso Law Group LLC 3/15/21

Advisor Alert - Client Privacy Rules Create Potential Pitfalls for Financial Advisors

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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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Robert Meyer of Monmouth Capital Management Sanctioned by FINRA
December 2020 Giarrusso Law Group LLC 12/5/20 December 2020 Giarrusso Law Group LLC 12/5/20

Robert Meyer of Monmouth Capital Management Sanctioned by FINRA

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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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SEC Files Civil Charges Against Five Firms Involving Complex “VIX-Related” Exchange-Traded Products
November 2020 Giarrusso Law Group LLC 11/17/20 November 2020 Giarrusso Law Group LLC 11/17/20

SEC Files Civil Charges Against Five Firms Involving Complex “VIX-Related” Exchange-Traded Products

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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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