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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
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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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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Long Island Broker Carl Antaki Subject of FINRA Investigation Alleging Excessive Trading
May 2021 Giarrusso Law Group LLC 5/25/21 May 2021 Giarrusso Law Group LLC 5/25/21

Long Island Broker Carl Antaki Subject of FINRA Investigation Alleging Excessive Trading

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Former Aegis Broker Subject of FINRA Complaint Alleging Excessive Trading
April 2021 Giarrusso Law Group LLC 4/27/21 April 2021 Giarrusso Law Group LLC 4/27/21

Former Aegis Broker Subject of FINRA Complaint Alleging Excessive Trading

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Former Staten Island Broker, George Warner, Receives Securities Industry Bar
April 2021 Giarrusso Law Group LLC 4/6/21 April 2021 Giarrusso Law Group LLC 4/6/21

Former Staten Island Broker, George Warner, Receives Securities Industry Bar

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NASAA Announces Regulatory Actions Against GPB Have Been Filed by Seven State Securities Agencies
March 2021 Giarrusso Law Group LLC 3/17/21 March 2021 Giarrusso Law Group LLC 3/17/21

NASAA Announces Regulatory Actions Against GPB Have Been Filed by Seven State Securities Agencies

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Worden Capital Management Pays Nearly $1.6 Million to FINRA for Alleged Account Churning
March 2021 Giarrusso Law Group LLC 3/2/21 March 2021 Giarrusso Law Group LLC 3/2/21

Worden Capital Management Pays Nearly $1.6 Million to FINRA for Alleged Account Churning

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David Lerner Broker, Michael Norton, Subject of FINRA Arbitration Related to Energy 11 Losses
February 2021 Giarrusso Law Group LLC 2/23/21 February 2021 Giarrusso Law Group LLC 2/23/21

David Lerner Broker, Michael Norton, Subject of FINRA Arbitration Related to Energy 11 Losses

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Aegis Financial Advisor, Thomas Duggan, Subject of Two Pending FINRA Arbitrations
February 2021 Giarrusso Law Group LLC 2/17/21 February 2021 Giarrusso Law Group LLC 2/17/21

Aegis Financial Advisor, Thomas Duggan, Subject of Two Pending FINRA Arbitrations

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SEC Formally Charges GPB Capital and Related Defendants with Running a Ponzi-Like Scheme
February 2021 Giarrusso Law Group LLC 2/4/21 February 2021 Giarrusso Law Group LLC 2/4/21

SEC Formally Charges GPB Capital and Related Defendants with Running a Ponzi-Like Scheme

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David Lerner’s Proprietary Energy 11 Partnership Discloses Significant Decline in Unit Value
January 2021 Giarrusso Law Group LLC 1/27/21 January 2021 Giarrusso Law Group LLC 1/27/21

David Lerner’s Proprietary Energy 11 Partnership Discloses Significant Decline in Unit Value

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Investor Alert - William Athas of SW Financial Under Investigation by FINRA
January 2021 Giarrusso Law Group LLC 1/26/21 January 2021 Giarrusso Law Group LLC 1/26/21

Investor Alert - William Athas of SW Financial Under Investigation by FINRA

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Westport, CT David Lerner Advisor Has Two Pending Energy Investment Recommendation Disputes
January 2021 Giarrusso Law Group LLC 1/22/21 January 2021 Giarrusso Law Group LLC 1/22/21

Westport, CT David Lerner Advisor Has Two Pending Energy Investment Recommendation Disputes

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Recent SEC Administrative Order Highlights a Significant Risk Associated with Inverse ETFs
October 2020 Giarrusso Law Group LLC 10/29/20 October 2020 Giarrusso Law Group LLC 10/29/20

Recent SEC Administrative Order Highlights a Significant Risk Associated with Inverse ETFs

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Former Aegis Stockbroker Has Disclosed Four Customer Disputes
October 2020 Giarrusso Law Group LLC 10/14/20 October 2020 Giarrusso Law Group LLC 10/14/20

Former Aegis Stockbroker Has Disclosed Four Customer Disputes

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