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 Read More January 2022 Giarrusso Law Group LLC 1/26/22 January 2022 Giarrusso Law Group LLC 1/26/22 NASAA’s Annual List Identifies Top Investor Threats for 2022 Read More November 2021 Michael Giarrusso 11/22/21 November 2021 Michael Giarrusso 11/22/21 Investor Alert – Northstar Financial Investors May Have Claims to Recover their Losses Read More 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 Read More 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 Read More 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 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 April 2021 Giarrusso Law Group LLC 4/13/21 April 2021 Giarrusso Law Group LLC 4/13/21 Recent SEC Whistleblower Award Sets Record for 2021 Read More March 2021 Giarrusso Law Group LLC 3/17/21 March 2021 Giarrusso Law Group LLC 3/17/21 NASAA Announces Regulatory Actions Against GPB Have Been Filed by Seven State Securities Agencies Read More March 2021 Giarrusso Law Group LLC 3/15/21 March 2021 Giarrusso Law Group LLC 3/15/21 Advisor Alert - Client Privacy Rules Create Potential Pitfalls for Financial Advisors Read More February 2021 Giarrusso Law Group LLC 2/4/21 February 2021 Giarrusso Law Group LLC 2/4/21 SEC Formally Charges GPB Capital and Related Defendants with Running a Ponzi-Like Scheme Read More 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 Read More 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 Read More 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 Read More November 2020 Giarrusso Law Group LLC 11/24/20 November 2020 Giarrusso Law Group LLC 11/24/20 Advisor Alert — FINRA’s New Rule for Brokers Named as a Customer’s Beneficiary Read More Newer Posts Older Posts
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 Read More
January 2022 Giarrusso Law Group LLC 1/26/22 January 2022 Giarrusso Law Group LLC 1/26/22 NASAA’s Annual List Identifies Top Investor Threats for 2022 Read More
November 2021 Michael Giarrusso 11/22/21 November 2021 Michael Giarrusso 11/22/21 Investor Alert – Northstar Financial Investors May Have Claims to Recover their Losses Read More
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 Read More
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 Read More
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
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
April 2021 Giarrusso Law Group LLC 4/13/21 April 2021 Giarrusso Law Group LLC 4/13/21 Recent SEC Whistleblower Award Sets Record for 2021 Read More
March 2021 Giarrusso Law Group LLC 3/17/21 March 2021 Giarrusso Law Group LLC 3/17/21 NASAA Announces Regulatory Actions Against GPB Have Been Filed by Seven State Securities Agencies Read More
March 2021 Giarrusso Law Group LLC 3/15/21 March 2021 Giarrusso Law Group LLC 3/15/21 Advisor Alert - Client Privacy Rules Create Potential Pitfalls for Financial Advisors Read More
February 2021 Giarrusso Law Group LLC 2/4/21 February 2021 Giarrusso Law Group LLC 2/4/21 SEC Formally Charges GPB Capital and Related Defendants with Running a Ponzi-Like Scheme Read More
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 Read More
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 Read More
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 Read More
November 2020 Giarrusso Law Group LLC 11/24/20 November 2020 Giarrusso Law Group LLC 11/24/20 Advisor Alert — FINRA’s New Rule for Brokers Named as a Customer’s Beneficiary Read More