0
Skip to Content
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
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
Back
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 Releases Final Rule Enhancing Potential Whistleblower Program Awards
September 2022 Giarrusso Law Group LLC 9/30/22 September 2022 Giarrusso Law Group LLC 9/30/22

SEC Releases Final Rule Enhancing Potential Whistleblower Program Awards

Read More
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

Read More
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

Read More
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

Read More
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

Read More
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

Read More
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

Read More
Massachusetts Case Against Robinhood May Proceed, State Court Judge Rules
May 2021 Giarrusso Law Group LLC 5/28/21 May 2021 Giarrusso Law Group LLC 5/28/21

Massachusetts Case Against Robinhood May Proceed, State Court Judge Rules

Read More
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

Read More
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

Read More
Robinhood “Test Case” in Massachusetts Explores Brokerages’ Duties to Self-Directed Customers
April 2021 Giarrusso Law Group LLC 4/23/21 April 2021 Giarrusso Law Group LLC 4/23/21

Robinhood “Test Case” in Massachusetts Explores Brokerages’ Duties to Self-Directed Customers

Read More
Advisor Alert - Former Wells Fargo Broker Prevails in Expungement Dispute
April 2021 Giarrusso Law Group LLC 4/19/21 April 2021 Giarrusso Law Group LLC 4/19/21

Advisor Alert - Former Wells Fargo Broker Prevails in Expungement Dispute

Read More
Former Principal Securities Financial Advisor, John Krohn, Subject of Three Pending Disputes
April 2021 Giarrusso Law Group LLC 4/12/21 April 2021 Giarrusso Law Group LLC 4/12/21

Former Principal Securities Financial Advisor, John Krohn, Subject of Three Pending Disputes

Read More
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

Read More
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

Read More
Older Posts

 

Terms of Use

  1. The information contained on this website is provided solely for informational purposes and is considered attorney advertising. Prior results do not guarantee similar outcomes. Information on this website should be regarded as opinion based on publicly available information and not as fact.

  2. This information is not intended to create, and receipt of this information does not constitute, an attorney-client relationship between you and Giarrusso Law Group LLC or any of its attorneys. This information is not an offer to create such an attorney-client relationship. This information should not be relied upon or construed as legal advice. You should not act or elect to act based upon this information without seeking professional counsel regarding your situation.

  3. When initially contacting us via the website’s contact form, e-mail, telephone, or by any other means, do not include any confidential or sensitive information.

  4. Contacting us, by itself, does not create an attorney-client relationship. Contacting us does not guarantee that the firm will undertake representation of you.

  5. Giarrusso Law Group LLC is a national law firm that accepts cases throughout the United States, subject to individual state bar rules. Giarrusso Law Group LLC may partner with law firms located in other jurisdictions, as needed, on a case-by-case basis, on behalf of clients located in but not limited to: New York City-Long Island-Jersey City-Newark, Atlanta-Sandy Springs-Alpharetta, Austin-Round Rock-Georgetown, Baltimore-Columbia-Towson, Boston-Cambridge-Newton, Charlotte-Concord-Gastonia, Chicago-Naperville-Elgin, Cincinnati, Dallas-Fort Worth-Arlington, Denver-Aurora-Lakewood, Detroit-Warren-Dearborn, Houston-The Woodlands-Sugar Land, Las Vegas-Henderson-Paradise, Los Angeles-Long Beach-Anaheim, Miami-Fort Lauderdale-West Palm Beach, Minneapolis-St. Paul-Bloomington, Orlando-Kissimmee-Sanford, Philadelphia-Camden-Wilmington, Phoenix-Mesa-Chandler, Pittsburgh, Portland-Vancouver-Hillsboro, Riverside-San Bernardino-Ontario, Sacramento-Roseville-Folsom, San Antonio-New Braunfels, San Diego-Chula Vista-Carlsbad, San Francisco-Oakland-Berkeley, Seattle-Tacoma-Bellevue, St. Louis, Tampa-St. Petersburg-Clearwater, and Washington DC-Arlington-Alexandria.

© 2020-2025 Giarrusso Law Group LLC