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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 17, 2020

Investor Alert: Roger Lee Owens was fined $10,000 and suspended for engaging in private securities transactions without providing notice

March 17, 2020/ Jon Furgison
Investor Alert: Roger Lee Owens was fined $10,000 and suspended for engaging in private securities transactions without providing notice

Furgison Law Group is considering potential claims against Cetera Advisors LLC and Roger Lee Owens related to his alleged misconduct.

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March 17, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Roger Lee Owens
March 17, 2020

Investor Alert: Leonard John Kuczynski was fine of $10,000 and suspended for engaging in outside business activities

March 17, 2020/ Jon Furgison
Investor Alert: Leonard John Kuczynski was fine of $10,000 and suspended for engaging in outside business activities

Furgison Law Group is considering potential claims against Innovation Partners LLC and Leonard John Kuczynski related to his alleged misconduct.

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March 17, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Leonard John Kuczynski
March 17, 2020

Investor Alert: Stephen Allen Kelbick was fine $5,000 and suspended for exercising discretionary trading authority

March 17, 2020/ Jon Furgison
Investor Alert: Stephen Allen Kelbick was fine $5,000 and suspended for exercising discretionary trading authority

Furgison Law Group is considering potential claims against Wells Fargo, Morgan Stanley and Stephen Allen Kelbick related to his alleged misconduct.

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March 17, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Stephen Allen Kelbick
March 17, 2020

Investor Alert: Thomas Raymond Williams Sr. was fined $10,000 and suspended for omitting material information from email communication to a customer

March 17, 2020/ Jon Furgison
Investor Alert: Thomas Raymond Williams Sr. was  fined $10,000 and suspended for omitting material information from email communication to a customer

Furgison Law Group is considering potential claims against Ross, Sinclaire & Associates LLC, and Thomas Raymond Williams Sr. related to his alleged misconduct.

Read More
March 17, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Thomas Raymond Williams Sr.
March 17, 2020

Investor Alert: Richard James Coleman was fine $15,000 and suspended for unsuitable trading

March 17, 2020/ Jon Furgison
Investor Alert: Richard James Coleman was fine $15,000 and suspended for unsuitable trading

Furgison Law Group is considering potential claims against Richard James Coleman related to alleged misconduct.

Read More
March 17, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Richard James Coleman
March 17, 2020

Investor Alert: Steve Baptist was fined $5,000 and suspended for unauthorized trading

March 17, 2020/ Jon Furgison
Investor Alert: Steve Baptist was fined $5,000 and suspended for unauthorized trading

Furgison Law Group is considering potential claims against PHX Financial, Inc., Joseph Gunnar & Co. LLC and Steve Baptist related to alleged misconduct.

Read More
March 17, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Steve Baptist
March 17, 2020

Investor Alert: Jollene Jill Austin was fine $5,000 and suspended for borrowing a total of $665,000 from a customer

March 17, 2020/ Jon Furgison
Investor Alert: Jollene Jill Austin was fine $5,000 and suspended for borrowing a total of $665,000 from a customer

Furgison Law Group is considering potential claims against Jollene Jill Austin related to alleged misconduct.

Read More
March 17, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Jollene Jill Austin
March 17, 2020

Investor Alert: Mengxuan Zhang was fine $5,000 and suspended for falsifying customer signature

March 17, 2020/ Jon Furgison
Investor Alert: Mengxuan Zhang was fine $5,000 and suspended for falsifying customer signature

Furgison Law Group is considering potential claims against Cetera Investment Services LLC and Mengxuan Zhang related to her alleged misconduct.

Read More
March 17, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Mengxuan Zhang
March 17, 2020

Investor Alert: Ken Kavanagh was fine $25,000 and suspended for engaging in outside business activities

March 17, 2020/ Jon Furgison
Investor Alert: Ken Kavanagh was fine $25,000 and suspended for engaging in outside business activities

Furgison Law Group is considering potential claims against Morgan Stanley and Ken Kavanagh related to alleged misconduct.

Read More
March 17, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
March 17, 2020

Investor Alert: Elizabeth Stockwell was fined $5,000 and suspended for impersonating a customer on telephone calls

March 17, 2020/ Jon Furgison

Furgison Law Group is considering potential claims against Independent Financial Group, LLC, LPL Financial LLC and Elizabeth Stockwell related to her alleged misconduct.

Read More
March 17, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Elizabeth Stockwell
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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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