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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 Considering Additional Reg BI Enforcement Actions
July 2022 Giarrusso Law Group LLC 7/29/22 July 2022 Giarrusso Law Group LLC 7/29/22

SEC Considering Additional Reg BI Enforcement Actions

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Investors in Infinity Q Diversified Alpha Fund May Have FINRA Arbitration Claims to Recover Losses
June 2022 Giarrusso Law Group LLC 6/28/22 June 2022 Giarrusso Law Group LLC 6/28/22

Investors in Infinity Q Diversified Alpha Fund May Have FINRA Arbitration Claims to Recover Losses

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SEC Complaint Alleges Western International and Five of its Brokers Violated Reg BI on L Bond Sales
June 2022 Giarrusso Law Group LLC 6/22/22 June 2022 Giarrusso Law Group LLC 6/22/22

SEC Complaint Alleges Western International and Five of its Brokers Violated Reg BI on L Bond Sales

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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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SEC Chairman Gary Gensler Seeks to Address Crypto Regulatory Gap
July 2021 Giarrusso Law Group LLC 7/17/21 July 2021 Giarrusso Law Group LLC 7/17/21

SEC Chairman Gary Gensler Seeks to Address Crypto Regulatory Gap

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Former Aegis Stockbroker Sanctioned by FINRA for Excessive Trading
July 2021 Giarrusso Law Group LLC 7/16/21 July 2021 Giarrusso Law Group LLC 7/16/21

Former Aegis Stockbroker Sanctioned by FINRA for Excessive Trading

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Spartan Capital Broker, Marc Reda, Subject of FINRA Complaint Alleging Excessive Trading
July 2021 Giarrusso Law Group LLC 7/13/21 July 2021 Giarrusso Law Group LLC 7/13/21

Spartan Capital Broker, Marc Reda, Subject of FINRA Complaint Alleging Excessive Trading

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Gary Dodds of Bend, Oregon Sanctioned by State Securities Regulator
June 2021 Giarrusso Law Group LLC 6/30/21 June 2021 Giarrusso Law Group LLC 6/30/21

Gary Dodds of Bend, Oregon Sanctioned by State Securities Regulator

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Los Gatos, CA Broker Discloses Two Pending Arbitrations Alleging $1.85 Million in Damages
June 2021 Giarrusso Law Group LLC 6/24/21 June 2021 Giarrusso Law Group LLC 6/24/21

Los Gatos, CA Broker Discloses Two Pending Arbitrations Alleging $1.85 Million in Damages

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Glendale, CA Financial Advisor, Narith Long, Subject of Three Pending Customer Disputes
June 2021 Giarrusso Law Group LLC 6/23/21 June 2021 Giarrusso Law Group LLC 6/23/21

Glendale, CA Financial Advisor, Narith Long, Subject of Three Pending Customer Disputes

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Former Worden Capital Management Advisor Barred from Securities Industry by FINRA
June 2021 Giarrusso Law Group LLC 6/21/21 June 2021 Giarrusso Law Group LLC 6/21/21

Former Worden Capital Management Advisor Barred from Securities Industry by FINRA

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Former SagePoint Brokers Cynthia Komarek and Grant Birkley Barred by FINRA
June 2021 Giarrusso Law Group LLC 6/10/21 June 2021 Giarrusso Law Group LLC 6/10/21

Former SagePoint Brokers Cynthia Komarek and Grant Birkley Barred by FINRA

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Pinehurst, North Carolina Broker Mercer Hicks III Subject of FINRA Enforcement Action
June 2021 Giarrusso Law Group LLC 6/8/21 June 2021 Giarrusso Law Group LLC 6/8/21

Pinehurst, North Carolina Broker Mercer Hicks III Subject of FINRA Enforcement Action

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Former Madison Avenue Broker Subject of Numerous GPB-related Investor Complaints
June 2021 Giarrusso Law Group LLC 6/7/21 June 2021 Giarrusso Law Group LLC 6/7/21

Former Madison Avenue Broker Subject of Numerous GPB-related Investor Complaints

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Massachusetts Case Against Robinhood May Proceed, State Court Judge Rules
May 2021 Giarrusso Law Group LLC 5/28/21 May 2021 Giarrusso Law Group LLC 5/28/21

Massachusetts Case Against Robinhood May Proceed, State Court Judge Rules

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