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 19, 2020

Investor Alert: Robert P. Allen was suspended and fined $5,000 for engaging in an outside business activity

March 19, 2020/ Jon Furgison
Investor Alert: Robert P. Allen was suspended and fined $5,000 for engaging in an outside business activity

Furgison Law Group is considering potential claims against Country Capital Management Company and Robert P. Allen related to alleged misconduct.

Read More
March 19, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Robert P. Allen
March 19, 2020

Investor Alert: William Johnston Darby was suspended and fined $7,500 for having inaccurate books and records

March 19, 2020/ Jon Furgison
Investor Alert: William Johnston Darby was suspended and fined $7,500 for having inaccurate books and records

Furgison Law Group is considering potential claims against Stifel Nicolaus & Co., UBS Financial Services and William Johnston Darby related to alleged misconduct.

Read More
March 19, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
William Johnston Darby
March 19, 2020

Investor Alert: Louis Ward was suspended and fined $10,000 for failing to supervise his member firm

March 19, 2020/ Jon Furgison
Investor Alert: Louis Ward was suspended and fined $10,000 for failing to supervise his member firm

Furgison Law Group is considering potential claims against Spartan Capital Securities LLC, K. C. Ward Financial, and Louis Ward Levinson related to alleged misconduct.

Read More
March 19, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Louis Ward
March 19, 2020

Investor Alert: Brett David Levinson was suspended and fined $5,000 for improperly disclosed personal information of a customer

March 19, 2020/ Jon Furgison
Investor Alert: Brett David Levinson was suspended and fined $5,000 for improperly disclosed personal information of a customer

Furgison Law Group is considering potential claims against Stifel Nicolaus & Co., Hilltop Securities Inc., and Brett David Levinson related to alleged misconduct.

Read More
March 19, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Brett David Levinson
March 19, 2020

Investor Alert: Harvey Frank was suspended and fined $5,000 for improperly disclosed personal information of customers

March 19, 2020/ Jon Furgison
Investor Alert: Harvey Frank was suspended and fined $5,000 for improperly disclosed personal information of customers

Furgison Law Group is considering potential claims against Stifel Nicolaus & Co., Hilltop Securities Inc., and Harvey Frank related to alleged misconduct.

Read More
March 19, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Harvey Frank
March 19, 2020

Investor Alert: Kathryn Renee Charpie was suspended and fined $5,000 for borrowing $10,100 from a customer

March 19, 2020/ Jon Furgison
Investor Alert: Kathryn Renee Charpie was suspended and fined $5,000 for borrowing $10,100 from a customer

Furgison Law Group is considering potential claims against LPL Financial and Kathryn Renee Charpie related to alleged misconduct.

Read More
March 19, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Kathryn Renee Charpie
March 19, 2020

Investor Alert: Andrew Joseph Fairchild was suspended and fined $7,500 for impersonating customers

March 19, 2020/ Jon Furgison
Investor Alert: Andrew Joseph Fairchild was suspended and fined $7,500 for impersonating customers

Furgison Law Group is considering potential claims against Newbridge Securities Corporation, Kovack Securities Inc., Investacorp and Andrew Joseph Fairchild related to alleged misconduct.

Read More
March 19, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Andrew Joseph Fairchild
March 19, 2020

Investor Alert: Jerry Michael Wells was suspended and fined $5,000 for variable annuity sales violations

March 19, 2020/ Jon Furgison
Investor Alert: Jerry Michael Wells was suspended and fined $5,000 for variable annuity sales violations

Furgison Law Group is considering potential claims against Sagepoint Financial, MetLife Securities and Jerry Michael Wells related to alleged misconduct.

Read More
March 19, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Jerry Michael Wells
March 19, 2020

Investor Alert: Robert Renteria was suspended and fined $5,000 for borrowing $7,500 from customers

March 19, 2020/ Jon Furgison
Investor Alert: Robert Renteria was suspended and fined $5,000 for borrowing $7,500 from customers

Furgison Law Group is considering potential claims against PFS Investments Inc. and Robert Renteria related to alleged misconduct.

Read More
March 19, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Robert Renteria
March 19, 2020

Investor Alert: John Anthony Borsellino was suspended and fined $5,000 for recommending unsuitable securities transactions

March 19, 2020/ Jon Furgison
Investor Alert: John Anthony Borsellino was suspended and fined $5,000 for recommending unsuitable securities transactions

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

Read More
March 19, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
John Anthony Borsellino
  • 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.