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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
Prospect BDC Investors May Have FINRA Arbitration Claims to Recover Losses
March 2023 Giarrusso Law Group LLC 3/7/23 March 2023 Giarrusso Law Group LLC 3/7/23

Prospect BDC Investors May Have FINRA Arbitration Claims to Recover Losses

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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 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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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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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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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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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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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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Advisor Alert - Merrill Broker Wins Expungement Following Firm Allegedly Disregarding Facts
February 2021 Giarrusso Law Group LLC 2/22/21 February 2021 Giarrusso Law Group LLC 2/22/21

Advisor Alert - Merrill Broker Wins Expungement Following Firm Allegedly Disregarding Facts

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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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Robert Meyer of Monmouth Capital Management Sanctioned by FINRA
December 2020 Giarrusso Law Group LLC 12/5/20 December 2020 Giarrusso Law Group LLC 12/5/20

Robert Meyer of Monmouth Capital Management Sanctioned by FINRA

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Former Norwalk, CT Financial Advisor James T. Booth Receives 42-Month Sentence for Ponzi Scheme
December 2020 Giarrusso Law Group LLC 12/1/20 December 2020 Giarrusso Law Group LLC 12/1/20

Former Norwalk, CT Financial Advisor James T. Booth Receives 42-Month Sentence for Ponzi Scheme

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