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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
Former Aegis Broker Subject of FINRA Complaint Alleging Excessive Trading
April 2021 Giarrusso Law Group LLC 4/27/21 April 2021 Giarrusso Law Group LLC 4/27/21

Former Aegis Broker Subject of FINRA Complaint Alleging Excessive Trading

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SagePoint Financial Broker Cubby Bice Subject of Three Pending Customer Disputes
April 2021 Giarrusso Law Group LLC 4/16/21 April 2021 Giarrusso Law Group LLC 4/16/21

SagePoint Financial Broker Cubby Bice Subject of Three Pending Customer Disputes

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Spartan Capital Financial Advisor Sanctioned by FINRA in Wake of Excessive Trading Allegations
March 2021 Giarrusso Law Group LLC 3/22/21 March 2021 Giarrusso Law Group LLC 3/22/21

Spartan Capital Financial Advisor Sanctioned by FINRA in Wake of Excessive Trading Allegations

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Mike Patatian Subject of FINRA Enforcement Action Concerning Non-Traded REIT Sales
March 2021 Giarrusso Law Group LLC 3/10/21 March 2021 Giarrusso Law Group LLC 3/10/21

Mike Patatian Subject of FINRA Enforcement Action Concerning Non-Traded REIT Sales

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Investor Alert - Former Beverly Hills Merrill Lynch Broker Receives Industry Bar
March 2021 Giarrusso Law Group LLC 3/8/21 March 2021 Giarrusso Law Group LLC 3/8/21

Investor Alert - Former Beverly Hills Merrill Lynch Broker Receives Industry Bar

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Former VOYA Broker Subject of Ten Customer Disputes for Illiquid Alternative Products
March 2021 Giarrusso Law Group LLC 3/1/21 March 2021 Giarrusso Law Group LLC 3/1/21

Former VOYA Broker Subject of Ten Customer Disputes for Illiquid Alternative Products

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Plano, TX Financial Advisor, Jason Jaynes, Discloses Two Pending Customer Disputes
February 2021 Giarrusso Law Group LLC 2/26/21 February 2021 Giarrusso Law Group LLC 2/26/21

Plano, TX Financial Advisor, Jason Jaynes, Discloses Two Pending Customer Disputes

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David Lerner Broker, Michael Norton, Subject of FINRA Arbitration Related to Energy 11 Losses
February 2021 Giarrusso Law Group LLC 2/23/21 February 2021 Giarrusso Law Group LLC 2/23/21

David Lerner Broker, Michael Norton, Subject of FINRA Arbitration Related to Energy 11 Losses

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Aegis Financial Advisor, Thomas Duggan, Subject of Two Pending FINRA Arbitrations
February 2021 Giarrusso Law Group LLC 2/17/21 February 2021 Giarrusso Law Group LLC 2/17/21

Aegis Financial Advisor, Thomas Duggan, Subject of Two Pending FINRA Arbitrations

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Woodbury Financial Advisor Discloses Four Pending Customer Complaints Alleging Unsuitability
February 2021 Giarrusso Law Group LLC 2/16/21 February 2021 Giarrusso Law Group LLC 2/16/21

Woodbury Financial Advisor Discloses Four Pending Customer Complaints Alleging Unsuitability

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