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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’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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FINRA’s 2021 Examination and Risk Monitoring Report Highlights Important Issues
March 2021 Giarrusso Law Group LLC 3/24/21 March 2021 Giarrusso Law Group LLC 3/24/21

FINRA’s 2021 Examination and Risk Monitoring Report Highlights Important Issues

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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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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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Rochester, New York Broker Suspended by FINRA in Connection with Allegations of Variable Annuity Switching
September 2020 Giarrusso Law Group LLC 9/10/20 September 2020 Giarrusso Law Group LLC 9/10/20

Rochester, New York Broker Suspended by FINRA in Connection with Allegations of Variable Annuity Switching

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Former NEXT Financial Group Stockbroker Charles C. Kulch Charged with Overconcentrating Investors in Complex and Illiquid Financial Products
July 2020 Giarrusso Law Group LLC 7/29/20 July 2020 Giarrusso Law Group LLC 7/29/20

Former NEXT Financial Group Stockbroker Charles C. Kulch Charged with Overconcentrating Investors in Complex and Illiquid Financial Products

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