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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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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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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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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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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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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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Maplewood, New Jersey Registered Investment Adviser Accused by SEC of Cherry-Picking Securities Trades
September 2020 Giarrusso Law Group LLC 9/24/20 September 2020 Giarrusso Law Group LLC 9/24/20

Maplewood, New Jersey Registered Investment Adviser Accused by SEC of Cherry-Picking Securities Trades

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Newton, MA Financial Advisor Subject of Six Customer Disputes
September 2020 Giarrusso Law Group LLC 9/21/20 September 2020 Giarrusso Law Group LLC 9/21/20

Newton, MA Financial Advisor Subject of Six Customer Disputes

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