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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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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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Mike Patatian Subject of FINRA Enforcement Action Concerning Non-Traded REIT Sales
March 2021 Giarrusso Law Group LLC 3/10/21 March 2021 Giarrusso Law Group LLC 3/10/21

Mike Patatian Subject of FINRA Enforcement Action Concerning Non-Traded REIT Sales

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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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North Oaks, Minnesota Advisor, Randy Birkinbine, Subject of Pending Customer Complaint
January 2021 Giarrusso Law Group LLC 1/19/21 January 2021 Giarrusso Law Group LLC 1/19/21

North Oaks, Minnesota Advisor, Randy Birkinbine, Subject of Pending Customer Complaint

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Long Island Stockbroker, Michael Venturino, Subject of Twelve Customer Complaints
January 2021 Giarrusso Law Group LLC 1/15/21 January 2021 Giarrusso Law Group LLC 1/15/21

Long Island Stockbroker, Michael Venturino, Subject of Twelve Customer Complaints

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Former BMA Broker Barred by FINRA Following Investigation into Purported Unsuitable Trading
December 2020 Giarrusso Law Group LLC 12/22/20 December 2020 Giarrusso Law Group LLC 12/22/20

Former BMA Broker Barred by FINRA Following Investigation into Purported Unsuitable Trading

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New Hampshire Reaches Record Settlement with Merrill Lynch and Former Broker Charles Kenahan
December 2020 Giarrusso Law Group LLC 12/18/20 December 2020 Giarrusso Law Group LLC 12/18/20

New Hampshire Reaches Record Settlement with Merrill Lynch and Former Broker Charles Kenahan

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Investors in Northstar Financial Services May Have Recourse to Recover Their Losses
December 2020 Giarrusso Law Group LLC 12/15/20 December 2020 Giarrusso Law Group LLC 12/15/20

Investors in Northstar Financial Services May Have Recourse to Recover Their Losses

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FINRA Enforcement Alleges Former Laidlaw Broker Utilized High-Cost In-and-Out Trading Strategy
November 2020 Giarrusso Law Group LLC 11/27/20 November 2020 Giarrusso Law Group LLC 11/27/20

FINRA Enforcement Alleges Former Laidlaw Broker Utilized High-Cost In-and-Out Trading Strategy

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Investors in Sierra Income Corporation May Have Recourse to Recover Their Investment Losses
November 2020 Giarrusso Law Group LLC 11/23/20 November 2020 Giarrusso Law Group LLC 11/23/20

Investors in Sierra Income Corporation May Have Recourse to Recover Their Investment Losses

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Former Ohio Financial Advisor Barred from Securities Industry Following Alleged Excessive Trading
November 2020 Giarrusso Law Group LLC 11/18/20 November 2020 Giarrusso Law Group LLC 11/18/20

Former Ohio Financial Advisor Barred from Securities Industry Following Alleged Excessive Trading

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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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Investors in Risky High-Yield Energy Bonds May Have Claims to Recover Losses
November 2020 Giarrusso Law Group LLC 11/14/20 November 2020 Giarrusso Law Group LLC 11/14/20

Investors in Risky High-Yield Energy Bonds May Have Claims to Recover Losses

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