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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


November 10, 2023

Investor Alert: Western International Securities, Inc. was censured and fined $325,000 for failing to timely amend the Form U4

November 10, 2023/ Jon Furgison
Investor Alert: Western International Securities, Inc. was censured and fined $325,000  for failing to timely amend the Form U4

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

Read More
November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Western International Securities Inc.
November 10, 2023

Investor Alert: Irene Padrick Engard was barred for refusing to produce documents

November 10, 2023/ Jon Furgison
Investor Alert: Irene Padrick Engard was barred for refusing to produce documents

Furgison Law Group is considering potential claims against PFS INVESTMENTS INC. related to alleged misconduct by Irene Padrick Engard.

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November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Irene Padrick Engard, PFS INVESTMENTS INC.
November 10, 2023

Investor Alert: Julie Reyes was suspended and fined $5,000 for opening and maintaining a personal brokerage account

November 10, 2023/ Jon Furgison
Investor Alert: Julie Reyes was suspended and  fined $5,000 for opening and maintaining a personal brokerage account

Furgison Law Group is considering potential claims against Julie Reyes related to her alleged misconduct.

Read More
November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Julie Reyes
November 10, 2023

Investor Alert: Adrienne Jaime Mak was named in a complaint for failing to respond to FINRA’s requests

November 10, 2023/ Jon Furgison
Investor Alert: Adrienne Jaime Mak  was named in a complaint  for failing to respond to FINRA’s requests

Furgison Law Group is considering potential claims against J.P. MORGAN SECURITIES LLC related to alleged misconduct by Adrienne Jaime Mak.

Read More
November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Adrienne Jaime Mak, J.P. MORGAN SECURITIES LLC
November 10, 2023

Investor Alert: Daniel Conor McDermott was censured and fined $10,000 for failing to maintain books and records

November 10, 2023/ Jon Furgison
Investor Alert: Daniel Conor McDermott was censured and fined $10,000 for failing to maintain books and records

Furgison Law Group is considering potential claims against BHA Select Network, LLC related to alleged misconduct by Daniel Conor McDermott.

Read More
November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Daniel Conor McDermott, BHA Select Network LLC
November 10, 2023

Investor Alert: Morgan Stanley & Co. LLC was censured and fined $120,000 for failing to report to FINRA new issue offerings

November 10, 2023/ Jon Furgison
Investor Alert: Morgan Stanley & Co. LLC was  censured and fined $120,000 for failing to report to FINRA new issue offerings

Furgison Law Group is considering potential claims against Morgan Stanley & Co. LLC related to its alleged misconduct.

Read More
November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Morgan Stanley & Co. LLC
November 10, 2023

Investor Alert: Moloney Securities Co., Inc. was censured and fined $100,000 for failing to establish and maintain a supervisory system

November 10, 2023/ Jon Furgison
Investor Alert: Moloney Securities Co., Inc. was censured and fined $100,000 for failing to establish and maintain a supervisory system

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

Read More
November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Moloney Securities Co. Inc.
November 10, 2023

Investor Alert: BB&T Securities, LLC was censured and fined $47,500 failing to submit accurate minimum denomination and maximum interest rate

November 10, 2023/ Jon Furgison
Investor Alert: BB&T Securities, LLC was censured and fined $47,500 failing to submit accurate minimum denomination and maximum interest rate

Furgison Law Group is considering potential claims against BB&T Securities, LLC related to its alleged misconduct.

Read More
November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
BB&T Securities LLC
November 10, 2023

Investor Alert: Merrill Lynch, Pierce, Fenner & Smith Inc. was censured and fined $150,000 for allowing an individual who was an executive with its non-FINRA member to function

November 10, 2023/ Jon Furgison
Investor Alert: Merrill Lynch, Pierce, Fenner & Smith Inc. was censured and fined $150,000 for allowing an individual who was an executive with its non-FINRA member to function

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

Read More
November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Merrill Lynch Pierce Fenner & Smith Inc.
November 10, 2023

Investor Alert: Lime Brokerage LLC was censured and fined $100,000 for overstating its executed trade volume advertised through Bloomberg

November 10, 2023/ Jon Furgison
Investor Alert:  Lime Brokerage LLC was censured and fined $100,000 for overstating its executed trade volume advertised through Bloomberg

Furgison Law Group is considering potential claims against Lime Brokerage LLC related to its alleged misconduct.

Read More
November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Lime Brokerage 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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