Stock Fraud Lawyer | Securities Arbitration Attorneys| Furgison Law Group
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Stock Fraud Lawyer | Securities Arbitration Attorneys| Furgison Law Group
  • Firm Profile/
  • Practice Areas/
  • Videos/
  • Investigations/
  • FAQ/
  • Contact Us/
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Stock Fraud Lawyer | Securities Arbitration Attorneys| Furgison Law Group

We help investors recover losses due to fraud, negligence, misrepresentations, omissions, breach of fiduciary duty, conflicts of interest and other broker misconduct in FINRA securities arbitrations. Call Us Today for Free Case Evaluation!

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News and Investor Alerts on investment scams, financial adviser fraud and other stockbroker misconduct.

Stock Fraud Lawyer | Securities Arbitration Attorneys| Furgison Law Group
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News and Investor Alerts on investment scams, financial adviser fraud and other stockbroker misconduct


March 11, 2020

Investor Alert: James Joseph Kearney was suspended and fined $2,500 for placing improper trades in customer accounts

March 11, 2020/ Jon Furgison
Investor Alert: James Joseph Kearney was suspended and fined $2,500 for placing improper trades in customer accounts

Furgison Law Group is considering potential claims against Raymond James and James Joseph Kearney related to alleged misconduct.

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March 11, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Mauricio Abadi, Raymond James & Associates
March 11, 2020

Investor Alert: Lance Roman Armstrong was barred for refusing to appear for on-the-record testimony requested by FINRA

March 11, 2020/ Jon Furgison
Investor Alert: Lance Roman Armstrong was barred  for refusing to appear for on-the-record testimony requested by FINRA

Furgison Law Group is considering potential claims against Raymond James and Lance Roman Armstrong related to alleged misconduct.

Read More
March 11, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Lance Roman Armstrong, Raymond James & Associates
January 15, 2016

FINRA Orders Wells Fargo, Raymond James, and LPL Financial to Pay More Than $30 Million in Restitution to Retirement Accounts and Charities Overcharged for Mutual Funds

January 15, 2016/ Jon Furgison
FINRA Orders Wells Fargo, Raymond James, and LPL Financial to Pay More Than $30 Million in Restitution to Retirement Accounts and Charities Overcharged for Mutual Funds

FINRA has ordered Wells Fargo Advisors, LLC, Wells Fargo Advisors Financial Network, LLC, Raymond James & Associates, Inc., Raymond James Financial Services, Inc. and LPL Financial LLC to pay more than $30 million in restitution, including interest, to affected customers for failing to waive mutual fund sales charges for certain charitable and retirement accounts.

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January 15, 2016/ Jon Furgison/ /Source
FINRA News Release, FINRA Disciplinary Action
Wells Fargo, Wells Fargo Advisors Financial Network, Raymond James & Associates, Raymond James Financial Services, LPL Financial LLC, Fraudulent Activities, Fraud, Fines, FINRA, Restitution, Misrepresentation, Omission of material fact, Sanctions, Supervisory Systems and Procedures, Supervisory Systems, Inadequate Supervision, Investment Adviser, Breach of fiduciary duty, breakpoints, bad broker, Broker, attorney, lawyer, arbitration, best
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Stock Fraud Lawyer | Securities Arbitration Attorneys| Furgison Law Group

The Furgison Law Group represents retail and institutional investors around the world in securities arbitration and litigation. The firm represents clients before the Financial Industry Regulatory Authority (FINRA) [formerly the National Association of Securities Dealers (NASD)], the American Arbitration Association (AAA) and in numerous state and federal courts to resolve financial disputes between customers, financial advisers, banks, brokerage firms and other financial institutions. 

Our firm has represented litigants in state and federal courts in California and across the country in a variety of business and professional liability disputes, including complex litigation and cases involving sophisticated theories of fraud, misrepresentations and omissions, professional negligence and breach of fiduciary duty. 

Our headquarters are in Southern California, but we have a network of associate attorneys that allow us to serve clients from across the country and around the world.

We have recovered millions of dollars in investment losses for our clients and we look forward to helping you.

(310) 356-6890

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Furgison Law Group, PC     (310) 356-6890 
445 31st Street, Hermosa Beach, CA 90254
26901 Agoura Rd, Suite 180, Agoura Hills, CA 91301

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