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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: Fredrick Martin Randhahn was suspended and fined $5,000 for engaging in private securities transactions

March 11, 2020/ Jon Furgison
Investor Alert: Fredrick Martin Randhahn was suspended and fined $5,000 for engaging in private securities transactions

Furgison Law Group is considering potential claims against Sigma Financial Corporation and Fredrick Martin Randhahn related to alleged misconduct.

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March 11, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Fredrick Martin Randhahn, Sigma Financial Corporation
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: Mauricio Abadi was suspended and fined $10,000 for removing information about foreign exchange options

March 11, 2020/ Jon Furgison
Investor Alert: Mauricio Abadi was suspended and fined $10,000 for removing information about foreign exchange options

Furgison Law Group is considering potential claims against Morgan Stanley, Safra Securities and Mauricio Abadi related to alleged misconduct.

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March 11, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Mauricio Abadi, Morgan Stanley
March 11, 2020

Investor Alert: John Steven Mullaly was suspended and fined $10,000 for failing to inform his member firm

March 11, 2020/ Jon Furgison
Investor Alert: John Steven Mullaly was suspended and fined $10,000 for failing to inform his member firm

Furgison Law Group is considering potential claims against Wells Fargo, William Blair and John Steven Mullaly related to alleged misconduct.

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March 11, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
John Steven Mullaly, Wells Fargo Securities
March 11, 2020

Investor Alert: Brian Joseph Lockett was suspended and fined $5,000 for participating in a private securities transaction

March 11, 2020/ Jon Furgison
Investor Alert: Brian Joseph Lockett was suspended and fined $5,000 for participating in a private securities transaction

Furgison Law Group is considering potential claims against Independent Financial Group and Brian Joseph Lockett related to alleged misconduct.

Read More
March 11, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Brian Joseph Lockett, IFG
March 11, 2020

Investor Alert: Cody Hawkins-Fitzgerald was suspended and fined $5,000 for borrowing $10,000 from an elderly customer

March 11, 2020/ Jon Furgison
Investor Alert: Cody Hawkins-Fitzgerald was suspended and fined $5,000 for borrowing $10,000 from an elderly customer

Furgison Law Group is considering potential claims against Waddell & Reed and Cody Hawkins-Fitzgerald related to alleged misconduct.

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March 11, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Cody Hawkins-Fitzgerald, Waddell & Reed
March 11, 2020

Investor Alert: Rockney Francisco Garcia was suspended and fined $5,000 for engaging in a check-kiting scheme

March 11, 2020/ Jon Furgison
Investor Alert: Rockney Francisco Garcia was suspended and fined $5,000 for engaging in a check-kiting scheme

Furgison Law Group is considering potential claims against JP Morgan and Rockney Francisco Garcia related to alleged misconduct.

Read More
March 11, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Rockney Francisco Garcia, JP Morgan Securities
March 11, 2020

Investor Alert: Timothy Robert Millis was suspended for recommending unsuitable mutual fund transactions

March 11, 2020/ Jon Furgison
 Investor Alert: Timothy Robert Millis was suspended for recommending unsuitable mutual fund transactions

Furgison Law Group is considering potential claims against New York Life and Timothy Robert Millis related to alleged misconduct.

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March 11, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Timothy Robert Millis, NYLIFE Securities LLC
March 11, 2020

Investor Alert: John Gunther Hoagland was suspended and fined $5,000 for executing unauthorized trades

March 11, 2020/ Jon Furgison
Investor Alert: John Gunther Hoagland was suspended and fined $5,000 for executing unauthorized trades

Furgison Law Group is considering potential claims against Morgan Stanley and John Gunther Hoagland related to alleged misconduct.

Read More
March 11, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
John Gunther Hoagland, MORGAN STANLEY
March 11, 2020

Investor Alert: Christopher Kozak was suspended and fined $10,000 for engaging in an undisclosed outside business activity

March 11, 2020/ Jon Furgison
Investor Alert:  Christopher Kozak was suspended and fined $10,000 for engaging in an undisclosed outside business activity

Furgison Law Group is considering potential claims against Cetera Advisors and Christopher Kozak related to alleged misconduct.

Read More
March 11, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Christopher Kozak, Cetera Advisors LLC
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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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