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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 Releases Final Rule Enhancing Potential Whistleblower Program Awards
September 2022 Giarrusso Law Group LLC 9/30/22 September 2022 Giarrusso Law Group LLC 9/30/22

SEC Releases Final Rule Enhancing Potential Whistleblower Program Awards

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SEC Proposes Whistleblower Program Amendments Enhancing Potential Awards
May 2022 Giarrusso Law Group LLC 5/4/22 May 2022 Giarrusso Law Group LLC 5/4/22

SEC Proposes Whistleblower Program Amendments Enhancing Potential Awards

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Investor Alert — SEC Proposes to Shorten Trade Settlement Cycle
March 2022 Giarrusso Law Group LLC 3/31/22 March 2022 Giarrusso Law Group LLC 3/31/22

Investor Alert — SEC Proposes to Shorten Trade Settlement Cycle

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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 — FINRA Imposes Stricter Obligations on Member Firms Concerning Recidivist Brokers
May 2021 Giarrusso Law Group LLC 5/24/21 May 2021 Giarrusso Law Group LLC 5/24/21

Advisor Alert — FINRA Imposes Stricter Obligations on Member Firms Concerning Recidivist Brokers

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Regulatory Alert — SEC’s Expanded “Accredited Investor” Definition Becomes Effective
December 2020 Giarrusso Law Group LLC 12/8/20 December 2020 Giarrusso Law Group LLC 12/8/20

Regulatory Alert — SEC’s Expanded “Accredited Investor” Definition Becomes Effective

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Advisor Alert — FINRA Proposes That Member Firms File Private Placement Retail Communications
November 2020 Giarrusso Law Group LLC 11/28/20 November 2020 Giarrusso Law Group LLC 11/28/20

Advisor Alert — FINRA Proposes That Member Firms File Private Placement Retail Communications

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Advisor Alert — FINRA’s New Rule for Brokers Named as a Customer’s Beneficiary
November 2020 Giarrusso Law Group LLC 11/24/20 November 2020 Giarrusso Law Group LLC 11/24/20

Advisor Alert — FINRA’s New Rule for Brokers Named as a Customer’s Beneficiary

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Advisor Alert — FINRA Sanction Guidelines Amended to Further Protect Senior Investors
October 2020 Giarrusso Law Group LLC 10/30/20 October 2020 Giarrusso Law Group LLC 10/30/20

Advisor Alert — FINRA Sanction Guidelines Amended to Further Protect Senior Investors

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Advisor Alert — FINRA Requests Comments on Proposed Changes to Senior Exploitation Rule
October 2020 Giarrusso Law Group LLC 10/27/20 October 2020 Giarrusso Law Group LLC 10/27/20

Advisor Alert — FINRA Requests Comments on Proposed Changes to Senior Exploitation Rule

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SEC Amends its Whistleblower Program
October 2020 Giarrusso Law Group LLC 10/19/20 October 2020 Giarrusso Law Group LLC 10/19/20

SEC Amends its Whistleblower Program

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Advisor Alert — FINRA Expungement Overhaul Presents New Requirements and Challenges for Brokers
October 2020 Giarrusso Law Group LLC 10/13/20 October 2020 Giarrusso Law Group LLC 10/13/20

Advisor Alert — FINRA Expungement Overhaul Presents New Requirements and Challenges for Brokers

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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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GLG Investor Insights: FINRA’s Mission to Facilitate Vibrant Capital Markets
August 2020 Giarrusso Law Group LLC 8/7/20 August 2020 Giarrusso Law Group LLC 8/7/20

GLG Investor Insights: FINRA’s Mission to Facilitate Vibrant Capital Markets

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GLG Investor Insights: What is FINRA?
July 2020 Giarrusso Law Group LLC 7/30/20 July 2020 Giarrusso Law Group LLC 7/30/20

GLG Investor Insights: What is FINRA?

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