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Stock Fraud Lawyer | Securities Arbitration Attorneys| Furgison Law Group
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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 19, 2020

Investor Alert: JP Morgan Securities LLC was fined for failing to supervise custodial (UTMA and UGMA) accounts

March 19, 2020/ Jon Furgison
Investor Alert: JP Morgan Securities LLC was fined for failing to supervise custodial (UTMA and UGMA) accounts

Furgison Law Group is considering potential claims against JP Morgan Securities LLC related to alleged misconduct.

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March 19, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
March 19, 2020

Investor Alert: Citigroup Global Markets Inc. was fined for failing to supervise custodial (UTMA and UGMA) accounts

March 19, 2020/ Jon Furgison
Investor Alert: Citigroup Global Markets Inc. was fined for failing to supervise custodial (UTMA and UGMA) accounts

Furgison Law Group is considering potential claims against Citigroup Global Markets Inc. related to alleged misconduct.

Read More
March 19, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Citigroup Global Markets Inc.
March 19, 2020

Investor Alert: Credit Suisse Securities LLC was fined $6.5 Million for supervision and market access violations

March 19, 2020/ Jon Furgison
Investor Alert: Credit Suisse Securities LLC was fined $6.5 Million for supervision and market access violations

Furgison Law Group is considering potential claims against Credit Suisse Securities LLC related to alleged misconduct.

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March 19, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Robinhood Financial
March 19, 2020

Investor Alert: Robinhood Financial was fined $1.25 Million for best execution violations

March 19, 2020/ Jon Furgison
Investor Alert: Robinhood Financial was fined $1.25 Million for best execution violations

Furgison Law Group is considering potential claims against Robinhood Financial, LLC related to alleged misconduct.

Read More
March 19, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Robinhood Financial
March 19, 2020

Investor Alert: Samuel Lek and Lek Securities Corporation was permanently banned for trading violations

March 19, 2020/ Jon Furgison
Investor Alert: Samuel Lek and Lek Securities Corporation was permanently banned for trading violations

Furgison Law Group is considering potential claims against Samuel Lek or Lek Securities Corporation related to alleged misconduct.

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March 19, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Jefferies Execution Services Inc., Samuel Lek, Lek Securities Corporation
March 19, 2020

Investor Alert: Mercer Hicks III was named in a FINRA Complaint for recommending unsuitable investments

March 19, 2020/ Jon Furgison
Investor Alert: Mercer Hicks III was named in a FINRA Complaint for recommending unsuitable investments

Furgison Law Group is considering potential claims against SOUTHEAST INVESTMENTS, N.C., INC., CAPITAL INVESTMENT GROUP, INC. and Mercer Hicks III related to alleged misconduct.

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March 19, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Mercer Hicks III
March 19, 2020

Investor Alert: Bryce Patrick Jenney was named in FINRA Complaint for failing to provide information requested by FINRA

March 19, 2020/ Jon Furgison
Investor Alert: Bryce Patrick Jenney was named in FINRA Complaint for failing to provide information requested by FINRA

Furgison Law Group is considering potential claims against RAYMOND JAMES & ASSOCIATES, INC., MORGAN STANLEY and Bryce Patrick Jenney related to alleged misconduct.

Read More
March 19, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Bryce Patrick Jenney
March 19, 2020

Investor Alert: Robert Henderson was named in a FINRA Complaint for failing to provide written notice to his firm

March 19, 2020/ Jon Furgison
Investor Alert: Robert Henderson was named in a FINRA Complaint for failing to provide written notice to his firm

Furgison Law Group is considering potential claims against IFS SECURITIES and Robert Henderson related to alleged misconduct.

Read More
March 19, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Kane H. Waller
March 19, 2020

Investor Alert: Kane H. Waller was name in FINRA Complaint for sharing customers’ material non-public block order info

March 19, 2020/ Jon Furgison
Investor Alert: Kane H. Waller was name in FINRA Complaint for sharing customers’ material non-public block order info

Furgison Law Group is considering potential claims against CANACCORD GENUITY LLC, FIDELITY BROKERAGE SERVICES LLC , NATIONAL FINANCIAL SERVICES LLC and Kane H. Waller related to alleged misconduct.

Read More
March 19, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Kane H. Waller
March 19, 2020

Investor Alert: Bruno Henrique Silva was suspended and fined $15,000 for maintaining inaccurate books and records

March 19, 2020/ Jon Furgison
Investor Alert: Bruno Henrique Silva was suspended and fined $15,000 for maintaining inaccurate books and records

Furgison Law Group is considering potential claims against WORDEN CAPITAL MANAGEMENT LLC, SW FINANCIAL and Bruno Henrique Silva related to alleged misconduct.

Read More
March 19, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Bruno Henrique Silva
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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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