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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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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 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 - 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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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 Kalos Capital Advisor Discharged from Employment by Prudential Following Customer Complaint
November 2020 Giarrusso Law Group LLC 11/2/20 November 2020 Giarrusso Law Group LLC 11/2/20

Former Kalos Capital Advisor Discharged from Employment by Prudential Following Customer Complaint

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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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