Investor Alert: FIMCO Securities Group, Inc. was censured and fined $5,000 for failure to supervise
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Furgison Law Group is considering potential claims against FIMCO Securities Group, Inc related to alleged misconduct.
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News and Investor Alerts on investment scams, financial adviser fraud and other stockbroker misconduct
Investor Alert: BNP Paribas Securities Corp. was censured and fined $90,000 for submitting inaccurate information to the OATS
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Furgison Law Group is considering potential claims against BNP Paribas Securities Corp. related to its alleged misconduct.
Read MoreInvestor Alert: Virtu Americas LLC was censured and fined $250,000 for for OTC trading errors and failure to supervise
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Furgison Law Group is considering potential claims against Virtu Americas LLC fka KCG Americas LLC related to alleged misconduct.
Read MoreInvestor Alert: Cabot Lodge Securities LLC was named in FINRA Complaint for participating in an IPO of a non-traded REIT
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Furgison Law Group is considering potential claims against Cabot Lodge Securities LLC related to its alleged misconduct.
Read MoreInvestor Alert: Kapil Maheshwari was barred for misusing confidential information from his former firm
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Furgison Law Group is considering potential claims against CREDIT SUISSE SECURITIES (USA) LLC related to alleged misconduct by Kapil Maheshwari.
Read MoreInvestor Alert: Jorge A. Reyes was barred for violating Securities Exchange Act of 1934
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Furgison Law Group is considering potential claims against CP CAPITAL SECURITIES related to alleged misconduct by Jorge A. Reyes.
Read MoreInvestor Alert: Thaddeus James North was fined $5,000 for failure to supervise
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Furgison Law Group is considering potential claims against KUHNS BROTHERS SECURITIES CORPORATION related to alleged misconduct by Thaddeus James North.
Read MoreInvestor Alert: John Robert Barrows was suspended and fined $5,000 for failing to timely amend his Form U4
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Furgison Law Group is considering potential claims against NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC related to alleged misconduct by John Robert Barrows.
Read MoreInvestor Alert: Keith Trevor Rich was suspended and fined $5,000 for engaging in an outside business activity
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Furgison Law Group is considering potential claims against J.P. MORGAN SECURITIES LLC, EDWARD JONES, CAMBRIDGE INVESTMENT RESEARCH, INC., and PFS INVESTMENTS INC., related to alleged misconduct by Keith Trevor Rich.
Read MoreInvestor Alert: Thomas S. Martin was suspended and fined $5,000 for unapproved trading
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Furgison Law Group is considering potential claims against EK RILEY INVESTMENTS, LLC, EDWARD JONES, related to alleged misconduct by Thomas S. Martin.
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