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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
RBC Financial Advisor has Disclosed Three Recent Customer Complaints Related to Oil and Gas Losses
January 2021 Giarrusso Law Group LLC 1/4/21 January 2021 Giarrusso Law Group LLC 1/4/21

RBC Financial Advisor has Disclosed Three Recent Customer Complaints Related to Oil and Gas Losses

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Recent Comrit Tender Offer Suggests Benefit Street Partners Realty Trust Investors May Have Losses
December 2020 Giarrusso Law Group LLC 12/29/20 December 2020 Giarrusso Law Group LLC 12/29/20

Recent Comrit Tender Offer Suggests Benefit Street Partners Realty Trust Investors May Have Losses

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Investors Induced into Buying Securities on Margin May Have FINRA Claims to Recoup Losses
December 2020 Giarrusso Law Group LLC 12/28/20 December 2020 Giarrusso Law Group LLC 12/28/20

Investors Induced into Buying Securities on Margin May Have FINRA Claims to Recoup Losses

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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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NASAA 2020 Enforcement Report Highlights Increased Actions by State Securities Regulators
December 2020 Giarrusso Law Group LLC 12/10/20 December 2020 Giarrusso Law Group LLC 12/10/20

NASAA 2020 Enforcement Report Highlights Increased Actions by State Securities Regulators

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Investors in Certain Resource Real Estate REITs May Have FINRA Arbitration Claims for Losses
December 2020 Giarrusso Law Group LLC 12/9/20 December 2020 Giarrusso Law Group LLC 12/9/20

Investors in Certain Resource Real Estate REITs May Have FINRA Arbitration Claims for Losses

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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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Robert Meyer of Monmouth Capital Management Sanctioned by FINRA
December 2020 Giarrusso Law Group LLC 12/5/20 December 2020 Giarrusso Law Group LLC 12/5/20

Robert Meyer of Monmouth Capital Management Sanctioned by FINRA

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Investors in New York City REIT May Have Recourse to Recover Their Losses
December 2020 Giarrusso Law Group LLC 12/4/20 December 2020 Giarrusso Law Group LLC 12/4/20

Investors in New York City REIT May Have Recourse to Recover Their Losses

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Investor Alert — Leveraged, Inverse, and Leveraged-Inverse ETFs Present Considerable Risks
December 2020 Giarrusso Law Group LLC 12/2/20 December 2020 Giarrusso Law Group LLC 12/2/20

Investor Alert — Leveraged, Inverse, and Leveraged-Inverse ETFs Present Considerable Risks

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Former Norwalk, CT Financial Advisor James T. Booth Receives 42-Month Sentence for Ponzi Scheme
December 2020 Giarrusso Law Group LLC 12/1/20 December 2020 Giarrusso Law Group LLC 12/1/20

Former Norwalk, CT Financial Advisor James T. Booth Receives 42-Month Sentence for Ponzi Scheme

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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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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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