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Fredric A. Leslie
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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 Suspends Former JP Morgan Broker for Unauthorized Trading in Senior Customer’s Account
April 2021 Giarrusso Law Group LLC 4/7/21 April 2021 Giarrusso Law Group LLC 4/7/21

FINRA Suspends Former JP Morgan Broker for Unauthorized Trading in Senior Customer’s Account

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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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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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Former Kalos Capital Advisor Discharged from Employment by Prudential Following Customer Complaint
November 2020 Giarrusso Law Group LLC 11/2/20 November 2020 Giarrusso Law Group LLC 11/2/20

Former Kalos Capital Advisor Discharged from Employment by Prudential Following Customer Complaint

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Former David A. Noyes Stockbroker Permitted to Resign Following Alleged Misconduct
October 2020 Giarrusso Law Group LLC 10/25/20 October 2020 Giarrusso Law Group LLC 10/25/20

Former David A. Noyes Stockbroker Permitted to Resign Following Alleged Misconduct

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Former Hilliard Lyons Stockbroker Barred from Securities Industry in Wake of FINRA Investigation
August 2020 Giarrusso Law Group LLC 8/24/20 August 2020 Giarrusso Law Group LLC 8/24/20

Former Hilliard Lyons Stockbroker Barred from Securities Industry in Wake of FINRA Investigation

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Merrill Lynch and Former Top Broker, Charles Kenahan, Investigated for Alleged $200 Million in Losses
August 2020 Giarrusso Law Group LLC 8/6/20 August 2020 Giarrusso Law Group LLC 8/6/20

Merrill Lynch and Former Top Broker, Charles Kenahan, Investigated for Alleged $200 Million in Losses

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