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

Blog

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

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

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


March 11, 2020

Investor Alert: Rochelle Sophia Shoulders was suspended and fined for copying customer signatures

March 11, 2020/ Jon Furgison
Investor Alert: Rochelle Sophia Shoulders was suspended and fined for copying customer signatures

Furgison Law Group is considering potential claims against Rochelle Sophia Shoulders related to alleged misconduct.

Read More
March 11, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Murry Meir Shapero
March 11, 2020

Investor Alert: Eugene Nathan was suspended and fined $5,000 for effecting unauthorized transactions in his customer's IRA

March 11, 2020/ Jon Furgison
 Investor Alert: Eugene Nathan was suspended and fined $5,000 for effecting unauthorized transactions in his customer's IRA

Furgison Law Group is considering potential claims against Morgan Stanley, Fortune Financial and Eugene Nathan related to alleged misconduct.

Read More
March 11, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Eugene Nathan, Morgan Stanley, Fortune Financial
March 11, 2020

Investor Alert: Carmelo Arce Alvarez was suspended and fined $5,000 for exercising discretion without written authorization

March 11, 2020/ Jon Furgison
Investor Alert: Carmelo Arce Alvarez was suspended and fined $5,000 for exercising discretion without written authorization

Furgison Law Group is considering potential claims against Nationwide Planning Associates and Carmelo Arce Alvarez related to alleged misconduct.

Read More
March 11, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Carmelo Arce Alvarez, Nationwide Planning Associates
March 11, 2020

Investor Alert: Seth Michael was suspended and fined $5,000 for improperly used his member firm’s funds

March 11, 2020/ Jon Furgison
Investor Alert: Seth Michael was suspended and fined $5,000 for improperly used his member firm’s funds

Furgison Law Group is considering potential claims against Cantor Fitzgerald, RBC Capital and Seth Michael related to alleged misconduct.

Read More
March 11, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Seth Michael
March 11, 2020

Investor Alert: Harold Alan Schwartz was suspended and fined $5,000 for impersonating a customer

March 11, 2020/ Jon Furgison
Investor Alert: Harold Alan Schwartz was  suspended and fined $5,000 for impersonating a customer

Furgison Law Group is considering potential claims against Royal Alliance, DMK Advisor Group and Harold Alan Schwartz related to alleged misconduct.

Read More
March 11, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Harold Alan Schwartz
March 11, 2020

Investor Alert: David Quentin Kendrick was suspended and fined $30,000 for engaging in outside business activity

March 11, 2020/ Jon Furgison
Investor Alert: David Quentin Kendrick was suspended and fined $30,000 for engaging in outside business activity

Furgison Law Group is considering potential claims against New York Life Securities and David Quentin Kendrick related to alleged misconduct.

Read More
March 11, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
David Quentin Kendrick, NYLIFE Securities LLC
March 11, 2020

Investor Alert: Alexander Lycouris was suspended for participating in an outside business activity

March 11, 2020/ Jon Furgison
Investor Alert: Alexander Lycouris was suspended for participating in an outside business activity

Furgison Law Group is considering potential claims against MML Investor Services, MSI Financial Services and Alexander Lycouris related to alleged misconduct.

Read More
March 11, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Alexander Lycouris, MML Investors Services
March 11, 2020

Investor Alert: Gregory Paul Pellizzon was suspended and fined $5,000 for failing to disclose a customer’s complaint on his Form U4

March 11, 2020/ Jon Furgison
Investor Alert: Gregory Paul Pellizzon was suspended and fined $5,000 for failing to disclose a customer’s complaint on his Form U4

Furgison Law Group is considering potential claims against Hollencrest Capital and Gregory Paul Pellizzon related to alleged misconduct.

Read More
March 11, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Gregory Paul Pellizzon, Hollencrest Capital Management
March 11, 2020

Investor Alert: Michael Jason Collins was suspended and fined $10,000 for participating in private securities transactions

March 11, 2020/ Jon Furgison
Investor Alert: Michael Jason Collins was suspended and fined $10,000 for participating in private securities transactions

Furgison Law Group is considering potential claims against Kingsbury Capital, Robert W. Baird & Co., and Michael Jason Collins related to alleged misconduct.

Read More
March 11, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Michael Jason Collins
March 11, 2020

Investor Alert: Paul M. Mallory was suspended and fined $5,000 for failing to reasonably supervise a former registered representative

March 11, 2020/ Jon Furgison
Investor Alert: Paul M. Mallory was suspended and fined $5,000 for failing to reasonably supervise a former registered representative

Furgison Law Group is considering potential claims against Concorde Investment Services and Paul M. Mallory related to alleged misconduct.

Read More
March 11, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Paul M. Mallory, CONCORDE INVESTMENT SERVICES LLC
  • Previous
  • Next
  • Firm Profile/
  • Practice Areas/
  • Videos/
  • Investigations/
  • FAQ/
  • Contact Us/

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

Get Free Case Evaluation Now!

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

The information on this website is for general information purposes only. Nothing on this site should be taken as legal advice for any individual case or situation. This information is not intended to create, and receipt or viewing does not constitute an attorney-client relationship. Attorney Advertisement.  Read Full Disclaimer >

©  2005-2025 Furgison Law Group, PC. All Rights Reserved.