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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
Folder: For Investors
Folder: For Advisors
Contact Us
Blog
Contact Us
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Michael J. Giarrusso
Fredric A. Leslie
Back
BDCs
GPB Capital
GWG L Bonds
Non-Traded REITs
Oil and Gas
Ponzi Schemes
Private Placements
Variable Annuities
Back
Form U5 Expungement
Stockbroker Transitions
Regulatory Inquiries
Promissory Note Defense
Other Disputes
SEC Charges Former Wells Fargo Advisor Kenneth Welsh With Misappropriating Nearly $3 Million
November 2021 Michael Giarrusso 11/3/21 November 2021 Michael Giarrusso 11/3/21

SEC Charges Former Wells Fargo Advisor Kenneth Welsh With Misappropriating Nearly $3 Million

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Illinois Advisor Receives Industry Bar Following Nearly $1 Million Theft from Elderly Clients
October 2021 Giarrusso Law Group LLC 10/7/21 October 2021 Giarrusso Law Group LLC 10/7/21

Illinois Advisor Receives Industry Bar Following Nearly $1 Million Theft from Elderly Clients

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CIM Tender Offer Extended — Shareholders May Continue to Face Considerable Losses
October 2021 Giarrusso Law Group LLC 10/5/21 October 2021 Giarrusso Law Group LLC 10/5/21

CIM Tender Offer Extended — Shareholders May Continue to Face Considerable Losses

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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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Recent Tender Offer for CIM Real Estate Finance Trust Suggests Investors May Have Losses
August 2021 Giarrusso Law Group LLC 8/19/21 August 2021 Giarrusso Law Group LLC 8/19/21

Recent Tender Offer for CIM Real Estate Finance Trust Suggests Investors May Have Losses

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Spartan Capital Broker, Marc Reda, Subject of FINRA Complaint Alleging Excessive Trading
July 2021 Giarrusso Law Group LLC 7/13/21 July 2021 Giarrusso Law Group LLC 7/13/21

Spartan Capital Broker, Marc Reda, Subject of FINRA Complaint Alleging Excessive Trading

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Gary Dodds of Bend, Oregon Sanctioned by State Securities Regulator
June 2021 Giarrusso Law Group LLC 6/30/21 June 2021 Giarrusso Law Group LLC 6/30/21

Gary Dodds of Bend, Oregon Sanctioned by State Securities Regulator

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Healthcare Trust, Inc. Investors May Have Arbitration Claims to Recover Investment Losses
June 2021 Giarrusso Law Group LLC 6/29/21 June 2021 Giarrusso Law Group LLC 6/29/21

Healthcare Trust, Inc. Investors May Have Arbitration Claims to Recover Investment Losses

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Los Gatos, CA Broker Discloses Two Pending Arbitrations Alleging $1.85 Million in Damages
June 2021 Giarrusso Law Group LLC 6/24/21 June 2021 Giarrusso Law Group LLC 6/24/21

Los Gatos, CA Broker Discloses Two Pending Arbitrations Alleging $1.85 Million in Damages

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Glendale, CA Financial Advisor, Narith Long, Subject of Three Pending Customer Disputes
June 2021 Giarrusso Law Group LLC 6/23/21 June 2021 Giarrusso Law Group LLC 6/23/21

Glendale, CA Financial Advisor, Narith Long, Subject of Three Pending Customer Disputes

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Former Worden Capital Management Advisor Barred from Securities Industry by FINRA
June 2021 Giarrusso Law Group LLC 6/21/21 June 2021 Giarrusso Law Group LLC 6/21/21

Former Worden Capital Management Advisor Barred from Securities Industry by FINRA

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Former Madison Avenue Broker Subject of Numerous GPB-related Investor Complaints
June 2021 Giarrusso Law Group LLC 6/7/21 June 2021 Giarrusso Law Group LLC 6/7/21

Former Madison Avenue Broker Subject of Numerous GPB-related Investor Complaints

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Long Island Broker Carl Antaki Subject of FINRA Investigation Alleging Excessive Trading
May 2021 Giarrusso Law Group LLC 5/25/21 May 2021 Giarrusso Law Group LLC 5/25/21

Long Island Broker Carl Antaki Subject of FINRA Investigation Alleging Excessive Trading

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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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Investor Alert - Record Margin Debt Points to Highly Leveraged Stock Market
May 2021 Giarrusso Law Group LLC 5/20/21 May 2021 Giarrusso Law Group LLC 5/20/21

Investor Alert - Record Margin Debt Points to Highly Leveraged Stock Market

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