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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 23, 2020

Investor Alert: Wintrust Investments LLC was censured and fined $35,000 for failing to exercise reasonable diligence

March 23, 2020/ Jon Furgison
Investor Alert: Wintrust Investments LLC was censured and fined $35,000 for failing to exercise reasonable diligence

Furgison Law Group is considering potential claims against Wintrust Investments LLC fka Wayne Hummer Investments L.L.C related to its alleged misconduct.

Read More
March 23, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Wintrust Investments LLC
March 23, 2020

Investor Alert: Merrill Lynch was censured and fined $150,000 for executing municipal securities transactions

March 23, 2020/ Jon Furgison
Investor Alert: Merrill Lynch was censured and fined $150,000 for executing municipal securities transactions

Furgison Law Group is considering potential claims against Merrill Lynch, Pierce, Fenner & Smith Incorporated related to its alleged misconduct.

Read More
March 23, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Merrill Lynch Pierce Fenner & Smith Incorporated
March 23, 2020

Investor Alert: Dash Financial Technologies LLC was censured and fined $90,000 for transmitting inaccurate Reportable Order Events

March 23, 2020/ Jon Furgison
Investor Alert: Dash Financial Technologies LLC was censured and fined $90,000 for transmitting inaccurate Reportable Order Events

Furgison Law Group is considering potential claims against Dash Financial Technologies LLC related to its alleged misconduct.

Read More
March 23, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Dash Financial Technologies LLC
March 23, 2020

Investor Alert: Apex Clearing Corporation was censured and fined $250,000 for failing to supervise

March 23, 2020/ Jon Furgison
Investor Alert: Apex Clearing Corporation was censured and fined $250,000 for failing to supervise

Furgison Law Group is considering potential claims against Apex Clearing Corporation related to its alleged misconduct.

Read More
March 23, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Apex Clearing Corporation
March 23, 2020

Investor Alert: Wilson-Davis & Co., Inc. was fined $1,100,000 for failing to establish supervisory system

March 23, 2020/ Jon Furgison
Investor Alert: Wilson-Davis & Co., Inc. was fined $1,100,000 for failing to establish supervisory system

Furgison Law Group is considering potential claims against Wilson-Davis & Co., Inc. related to alleged misconduct by Byron Bert Barkley and James C. Snow Jr.

Read More
March 23, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Wilson-Davis & Co. Inc., Byron Bert Barkley, James C. Snow Jr.
March 23, 2020

Investor Alert: Lek Securities Corporation was suspended and fined $200,000 for failing to implement AML policies

March 23, 2020/ Jon Furgison
Investor Alert: Lek Securities Corporation was suspended and fined $200,000 for failing to implement AML policies

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

Read More
March 23, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Lek Securities Corporation
March 19, 2020

Investor Alert: Oppenheimer & Co. was ordered to pay $3.8 Million for Unit Investment Trust (UTI) failures

March 19, 2020/ Jon Furgison
Investor Alert: Oppenheimer & Co. was ordered to pay $3.8 Million for Unit Investment Trust (UTI) failures

Furgison Law Group is considering potential claims against Oppenheim & Co., Inc. related to alleged misconduct.

Read More
March 19, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Oppenheimer & Co. Inc.
March 19, 2020

Investor Alert: Merrill Lynch was fined for failing to supervise custodial (UTMA and UGMA) accounts

March 19, 2020/ Jon Furgison
Investor Alert: Merrill Lynch was fined for failing to supervise custodial (UTMA and UGMA) accounts

Furgison Law Group is considering potential claims against Merrill Lynch related to alleged misconduct.

Read More
March 19, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Merrill Lynch
March 19, 2020

Investor Alert: LPL Financial LLC was fined for failing to supervise custodial (UTMA and UGMA) accounts

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

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

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

Investor Alert: Morgan Stanley Smith Barney LLC was fined for failing to supervise custodial (UTMA and UGMA) accounts

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

Furgison Law Group is considering potential claims against Morgan Stanley Smith Barney LLC related to alleged misconduct.

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