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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
Former SCF Securities Broker, Todd Petersen, Subject of Numerous Customer Complaints
September 2021 Giarrusso Law Group LLC 9/21/21 September 2021 Giarrusso Law Group LLC 9/21/21

Former SCF Securities Broker, Todd Petersen, Subject of Numerous Customer Complaints

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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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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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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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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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Wells Fargo Sanctioned in Excess of $2 Million by FINRA Enforcement for Variable Annuity Switching
November 2020 Giarrusso Law Group LLC 11/12/20 November 2020 Giarrusso Law Group LLC 11/12/20

Wells Fargo Sanctioned in Excess of $2 Million by FINRA Enforcement for Variable Annuity Switching

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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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Former Aegis Stockbroker Has Disclosed Four Customer Disputes
October 2020 Giarrusso Law Group LLC 10/14/20 October 2020 Giarrusso Law Group LLC 10/14/20

Former Aegis Stockbroker Has Disclosed Four Customer Disputes

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Former Grand Rapids Financial Advisor Receives Industry Bar Following FINRA Investigation
October 2020 Giarrusso Law Group LLC 10/8/20 October 2020 Giarrusso Law Group LLC 10/8/20

Former Grand Rapids Financial Advisor Receives Industry Bar Following FINRA Investigation

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Investors Solicited by Former Stockbroker, James T. Flynn, May Have Recourse to Recover Losses
October 2020 Giarrusso Law Group LLC 10/7/20 October 2020 Giarrusso Law Group LLC 10/7/20

Investors Solicited by Former Stockbroker, James T. Flynn, May Have Recourse to Recover Losses

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Recent Massachusetts Enforcement Action Highlights Master Limited Partnership Investment Risks
October 2020 Giarrusso Law Group LLC 10/5/20 October 2020 Giarrusso Law Group LLC 10/5/20

Recent Massachusetts Enforcement Action Highlights Master Limited Partnership Investment Risks

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San Diego Stockbroker and Radio Host Has Thirteen Customer Disputes
October 2020 Giarrusso Law Group LLC 10/1/20 October 2020 Giarrusso Law Group LLC 10/1/20

San Diego Stockbroker and Radio Host Has Thirteen Customer Disputes

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SEC Complaint Alleges Costly In-and-Out Trading Strategy by Mineola Stockbroker
September 2020 Giarrusso Law Group LLC 9/28/20 September 2020 Giarrusso Law Group LLC 9/28/20

SEC Complaint Alleges Costly In-and-Out Trading Strategy by Mineola Stockbroker

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