Giarrusso Law Group LLC

Giarrusso Law Group LLC Based in the New York metro area, Giarrusso Law Group's financial services attorneys represent investors and advisors in securities law matters nationwide.

The legislation, if enacted into law, would direct the SEC to establish an examination whereby successful participants c...
06/06/2023

The legislation, if enacted into law, would direct the SEC to establish an examination whereby successful participants could be certified as accredited investors.

The bill directs the SEC to establish an examination whereby successful participants could be certified as accredited investors.

Alliance Bernstein's well-regarded options overlay program may have been misrepresented to investors. ...
05/20/2023

Alliance Bernstein's well-regarded options overlay program may have been misrepresented to investors.

When markets become volatile, such options strategies can lead to significant losses for uninformed retail investors.

The NASAA's Annual List is based on a survey of state, provincial, and territorial securities regulators who were asked ...
04/25/2023

The NASAA's Annual List is based on a survey of state, provincial, and territorial securities regulators who were asked to name the most critical products and practices in 2023. The top three concerns were digital asset fraud, “pig-butchering” schemes, and social media and internet schemes.

The top three concerns were digital asset fraud, “pig-butchering” schemes, and social media and internet schemes.

Hartman, a publicly registered non-traded REIT, recently advised securities regulators that the ability to continue as a...
04/11/2023

Hartman, a publicly registered non-traded REIT, recently advised securities regulators that the ability to continue as a going concern is in doubt.

Hartman, a publicly registered non-traded REIT, recently advised securities regulators that the ability to continue as a going concern is in doubt

Prospect BDC’s financial challenges underscore the inherently risky nature of the Company’s business model and, conseque...
03/07/2023

Prospect BDC’s financial challenges underscore the inherently risky nature of the Company’s business model and, consequently, the risky and unsuitable nature of non-traded BDCs for many retail investors.

Prospect BDC’s financial challenges underscore the inherently risky nature of the Company’s business model and, consequently, the risky and unsuitable nature of non-traded BDCs for many retail investors.

Of particular importance is FINRA’s continued emphasis on ensuring broker-dealer compliance with Regulation Best Interes...
02/07/2023

Of particular importance is FINRA’s continued emphasis on ensuring broker-dealer compliance with Regulation Best Interest and communications issues.

Of particular importance is FINRA’s continued emphasis on ensuring broker-dealer compliance with Regulation Best Interest and communications issues as they relate to, among other things, mobile apps, cryptocurrency assets, private placements, and variable annuities.

Unfortunately for GWG’s L Bond retail investors, the Company has encountered recent regulatory and financial headwinds. ...
01/25/2023

Unfortunately for GWG’s L Bond retail investors, the Company has encountered recent regulatory and financial headwinds. This is especially problematic for investors who were nearing or in retirement and seeking income, safety, and liquidity.

Unfortunately for GWG’s L Bond retail investors, the Company has encountered recent regulatory and financial headwinds. This is especially problematic for investors who were nearing or in retirement and seeking income, safety, and liquidity.

Giarrusso Law Group LLC continues its investigation into inappropriate recommendations by certain financial advisors to ...
01/11/2023

Giarrusso Law Group LLC continues its investigation into inappropriate recommendations by certain financial advisors to invest in GWG L Bonds.

Giarrusso Law Group LLC continues its investigation into inappropriate recommendations by certain financial advisors to invest in GWG L Bonds.

Investors in KBS may face substantial losses if a recently announced plan for the company’s liquidation and dissolution ...
12/22/2022

Investors in KBS may face substantial losses if a recently announced plan for the company’s liquidation and dissolution is approved.

Investors in KBS may face substantial losses if a recently announced plan for the company’s liquidation and dissolution is approved.

The SEC alleges that Bankman-Fried engaged in a scheme to defraud FTX equity investors – including U.S. equity investors...
12/14/2022

The SEC alleges that Bankman-Fried engaged in a scheme to defraud FTX equity investors – including U.S. equity investors – out of more than $1.8 billion.

The SEC alleges that Bankman-Fried engaged in a scheme to defraud FTX equity investors – including U.S. equity investors – out of more than $1.8 billion.

The REIT recently warned that its portfolio is under significant duress.
12/01/2022

The REIT recently warned that its portfolio is under significant duress.

KBS cited Covid-19, civil unrest, and a drop in oil prices as all negatively impacting its property portfolio in Houston, Portland, and Chicago.

The SEC has charged a former Chicago-area financial advisor with stealing more than $1.2 million from an elderly client ...
10/11/2022

The SEC has charged a former Chicago-area financial advisor with stealing more than $1.2 million from an elderly client who currently suffers from dementia and using the funds for personal and business expenses.

The SEC has charged a former Chicago-area financial advisor with stealing more than $1.2 million from an elderly client who currently suffers from dementia and using the funds for personal and business expenses.

Address

111 TOWN Square Place, SUITE 1203
Jersey City, NJ
07310

Opening Hours

Monday 9:30am - 6:30pm
Tuesday 9:30am - 6:30pm
Wednesday 9:30am - 6:30pm
Thursday 9:30am - 6:30pm
Friday 9:30am - 6:30pm

Telephone

+12017711115

Website

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