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Michael J. Giarrusso
Fredric A. Leslie
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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
FINRA’s 2023 Risk Monitoring Report Emphasizes Reg BI Compliance and Communications Issues
February 2023 Giarrusso Law Group LLC 2/7/23 February 2023 Giarrusso Law Group LLC 2/7/23

FINRA’s 2023 Risk Monitoring Report Emphasizes Reg BI Compliance and Communications Issues

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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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FINRA’s 2022 Risk Monitoring Report Highlights Reg BI and Customer Communications Issues
February 2022 Giarrusso Law Group LLC 2/23/22 February 2022 Giarrusso Law Group LLC 2/23/22

FINRA’s 2022 Risk Monitoring Report Highlights Reg BI and Customer Communications Issues

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Investor Alert – Northstar Financial Investors May Have Claims to Recover their Losses
November 2021 Michael Giarrusso 11/22/21 November 2021 Michael Giarrusso 11/22/21

Investor Alert – Northstar Financial Investors May Have Claims to Recover their Losses

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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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Robinhood “Test Case” in Massachusetts Explores Brokerages’ Duties to Self-Directed Customers
April 2021 Giarrusso Law Group LLC 4/23/21 April 2021 Giarrusso Law Group LLC 4/23/21

Robinhood “Test Case” in Massachusetts Explores Brokerages’ Duties to Self-Directed Customers

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FINRA’s 2021 Examination and Risk Monitoring Report Highlights Important Issues
March 2021 Giarrusso Law Group LLC 3/24/21 March 2021 Giarrusso Law Group LLC 3/24/21

FINRA’s 2021 Examination and Risk Monitoring Report Highlights Important Issues

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