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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: Stephen Carver was barred for refusing to produce information requested by FINRA

March 23, 2020/ Jon Furgison
Investor Alert: Stephen Carver was barred for refusing to produce information requested by FINRA

Furgison Law Group is considering potential claims against LIFEMARK SECURITIES CORP and CETERA ADVISORS LLC related to alleged misconduct by Stephen Carver.

Read More
March 23, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Stephen Carver, LIFEMARK SECURITIES CORP
March 23, 2020

Investor Alert: John Joseph Cahill was barred for refusing to provide documents requested by FINRA

March 23, 2020/ Jon Furgison
Investor Alert: John Joseph Cahill was barred for refusing to provide documents requested by FINRA

Furgison Law Group is considering potential claims against JANNEY MONTGOMERY SCOTT LLC related to alleged misconduct by John Joseph Cahill.

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March 23, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
John Joseph Cahill, JANNEY MONTGOMERY SCOTT LLC
March 23, 2020

Investor Alert: Wedbush Securities Inc. was censured and fined $90,000 for misrepresenting short positions

March 23, 2020/ Jon Furgison
Investor Alert: Wedbush Securities Inc. was censured and fined $90,000 for misrepresenting short positions

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

Read More
March 23, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Wells Fargo Advisors LLC, Wells Fargo Clearing Services LLC
March 23, 2020

Investor Alert: Paulson Investment Company LLC was censured and fined $50,000 for selling private placement

March 23, 2020/ Jon Furgison
Investor Alert: Paulson Investment Company LLC was censured and fined $50,000 for selling private placement

Furgison Law Group is considering potential claims against Paulson Investment Company LLC related to its alleged misconduct.

Read More
March 23, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Paulson Investment Company LLC
March 23, 2020

Investor Alert: Wells Fargo Advisors, LLC was censured and fined $175,000 for failing to supervise

March 23, 2020/ Jon Furgison
Investor Alert: Wells Fargo Advisors, LLC was censured and fined $175,000 for failing to supervise

Furgison Law Group is considering potential claims against Wells Fargo Advisors, LLC nka Wells Fargo Clearing Services, LLC related to its alleged misconduct.

Read More
March 23, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Wells Fargo Advisors LLC, Wells Fargo Clearing Services LLC
March 23, 2020

Investor Alert: Royal Alliance Associates, Inc. was censured and fined $400,000 for failing to supervise

March 23, 2020/ Jon Furgison
Investor Alert: Royal Alliance Associates, Inc. was censured and fined $400,000 for failing to supervise

Furgison Law Group is considering potential claims against Royal Alliance Associates, Inc. related to its alleged misconduct.

Read More
March 23, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Royal Alliance Associates Inc.
March 23, 2020

Investor Alert: Prudential Investment Management Services LLC was fined $1 Million for disseminating inaccurate information re variable annuities

March 23, 2020/ Jon Furgison
Investor Alert: Prudential Investment Management Services LLC was fined $1 Million for disseminating inaccurate information re variable annuities

Furgison Law Group is considering potential claims against Prudential Investment Management Services LLC related to its alleged misconduct.

Read More
March 23, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Prudential Investment Management Services LLC
March 23, 2020

Investor Alert: Citigroup Global Markets Inc. was censured and fined $225,000 for failing to supervise

March 23, 2020/ Jon Furgison
Investor Alert: Citigroup Global Markets Inc. was censured and fined $225,000 for failing to supervise

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

Read More
March 23, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Citigroup Global Markets Inc.
March 23, 2020

Investor Alert: Spencer Edwards, Inc. was censured and fined $3.4 Million for failing to carefully scrutinize transactions

March 23, 2020/ Jon Furgison
Investor Alert: Spencer Edwards, Inc. was censured and fined $3.4 Million for failing to carefully scrutinize transactions

Furgison Law Group is considering potential claims against Spencer Edwards, Inc. related to its alleged misconduct.

Read More
March 23, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Spencer Edwards Inc.
March 23, 2020

Investor Alert: Virtu Americas LLC was censured and fined $125,000 for not maintaining a reasonable written methodology

March 23, 2020/ Jon Furgison
Investor Alert: Virtu Americas LLC was censured and fined $125,000 for not maintaining a reasonable written methodology

Furgison Law Group is considering potential claims against Virtu Americas LLC fka KCG Americas LLC related to its alleged misconduct.

Read More
March 23, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Virtu Americas LLC, KCG Americas LLC
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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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