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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 18, 2020

Investor Alert: Thomas Stappas was barred for refusing to provide documents and information requested by FINRA

March 18, 2020/ Jon Furgison
Investor Alert: Thomas Stappas was barred for refusing to provide documents and information requested by FINRA

Furgison Law Group is considering potential claims against Summit Equities Inc. and Thomas Stappas related to his alleged misconduct.

Read More
March 18, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Thomas Stappas
March 18, 2020

Investor Alert: Clayton Holman Wertz was barred for creating false account statements for a customer

March 18, 2020/ Jon Furgison
Investor Alert: Clayton Holman Wertz was barred for creating false account statements for a customer

Furgison Law Group is considering potential claims against First Canterbury Securities, Inc., First Financial Equity Corporation, Aspen Equity Partners and Clayton Holman Wertz related to his alleged misconduct.

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March 18, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Clayton Holman Wertz
March 18, 2020

Investor Alert: Heather Joy Baker was barred for refusing to appear for on-the-record testimony requested by FINRA

March 18, 2020/ Jon Furgison
Investor Alert: Heather Joy Baker was barred for refusing to appear for on-the-record testimony requested by FINRA

Furgison Law Group is considering potential claims against PNC Investments and Heather Joy Baker related to her alleged misconduct.

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March 18, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Heather Joy Baker
March 18, 2020

Investor Alert: Jack David Stone was refusing to appear for on-the-record testimony requested by FINRA

March 18, 2020/ Jon Furgison
Investor Alert: Jack David Stone was  refusing to appear for on-the-record testimony requested by FINRA

Furgison Law Group is considering potential claims against Forest Securities Inc. and Jack David Stone related to his alleged misconduct.

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March 18, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Jack David Stone
March 18, 2020

Investor Alert: Apostolos Nicolas Pitsironis was barred for converting $411,000 in customer funds

March 18, 2020/ Jon Furgison
Investor Alert: Apostolos Nicolas Pitsironis was barred for converting $411,000 in customer funds

Furgison Law Group is considering potential claims against Janney Montgomery Scott, Wells Fargo and Apostolos Nicolas Pitsironis related to his alleged misconduct.

Read More
March 18, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Apostolos Nicolas Pitsironis
March 18, 2020

Investor Alert: Michael Barry Carter was barred for failing to provide documents and information requested by FINRA

March 18, 2020/ Jon Furgison
Investor Alert: Michael Barry Carter was barred for failing to provide documents and information requested by FINRA

Furgison Law Group is considering potential claims against Morgan Stanley and Michael Barry Carter related to his alleged misconduct.

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March 18, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Michael Barry Carter
March 18, 2020

Investor Alert: Stefan Anton Pastor was barred for providing false information to FINRA

March 18, 2020/ Jon Furgison
Investor Alert: Stefan Anton Pastor was barred for providing false information to FINRA

Furgison Law Group is considering potential claims against Raymond James Financial Services and Stefan Anton Pastor related to his alleged misconduct.

Read More
March 18, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Stefan Anton Pastor
March 18, 2020

Investor Alert: Hilltop Securities Inc. was censured and fined $250,000 for supervision failures

March 18, 2020/ Jon Furgison
Investor Alert: Hilltop Securities Inc. was censured and fined $250,000 for supervision failures

Furgison Law Group is considering potential claims against Hilltop Securities Inc. related to its alleged misconduct.

Read More
March 18, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Hilltop Securities Inc.
March 18, 2020

Investor Alert: Wellington Shields & Co., LLC was censured and fined $100,000 for failing to keep accurate records of customer confirmation and trade blotters

March 18, 2020/ Jon Furgison
Investor Alert: Wellington Shields & Co., LLC was censured and fined $100,000 for failing to keep accurate records of customer confirmation and trade blotters

Furgison Law Group is considering potential claims against Wellington Shields & Co., LLC related to its alleged misconduct.

Read More
March 18, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Wellington Shields & Co. LLC
March 18, 2020

Investor Alert: Ace Diversified Capital, Inc. was censured and fined $20,000 for failing to supervise the sale of ETFs and ETNs

March 18, 2020/ Jon Furgison
Investor Alert: Ace Diversified Capital, Inc. was censured and fined $20,000 for failing to supervise the sale of ETFs and ETNs

Furgison Law Group is considering potential claims against Ace Diversified Capital, Inc. related to its alleged misconduct.

Read More
March 18, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Ace Diversified Capital Inc.
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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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