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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 18, 2020

Investor Alert: Wallachbeth Capital LLC was censured and fined $60,000 for supervisory failures

March 18, 2020/ Jon Furgison
Investor Alert: Wallachbeth Capital LLC was censured and fined $60,000 for supervisory failures

Furgison Law Group is considering potential claims against Wallachbeth Capital LLC related to its alleged misconduct.

Read More
March 18, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Wallachbeth Capital LLC
March 18, 2020

Investor Alert: RBC Capital Markets, LLC was censured and fined $2,900,000 for supervisory failures

March 18, 2020/ Jon Furgison
Investor Alert: RBC Capital Markets, LLC was censured and fined $2,900,000 for supervisory failures

Furgison Law Group is considering potential claims against RBC Capital Markets, LLC related to its alleged misconduct.

Read More
March 18, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
RBC Capital Markets LLC
March 18, 2020

Investor Alert: Insight Securities, Inc. was censured and fined $30,000 for their corporate bond transactions traded for its own account failed

March 18, 2020/ Jon Furgison
Investor Alert: Insight Securities, Inc. was censured and fined $30,000 for their corporate bond transactions traded for its own account failed

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

Read More
March 18, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Insight Securities Inc.
March 18, 2020

Investor Alert: Apex Clearing Corporation was censured and fined $140,000 for supervision violations

March 18, 2020/ Jon Furgison
Investor Alert: Apex Clearing Corporation was censured and fined $140,000 for supervision violations

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

Read More
March 18, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Apex Clearing Corporation
March 18, 2020

Investor Alert: Dougherty & Company LLC was censured and fined $25,000 for failing to comply with an arbitration award

March 18, 2020/ Jon Furgison
Investor Alert: Dougherty & Company LLC was censured and fined $25,000 for failing to comply with an arbitration award

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

Read More
March 18, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Dougherty & Company LLC
March 18, 2020

Investor Alert: ABN AMRO Clearing Chicago LLC was censured and fined $150,000

March 18, 2020/ Jon Furgison
Investor Alert: ABN AMRO Clearing Chicago LLC was censured and fined $150,000

Furgison Law Group is considering potential claims against ABN AMRO Clearing Chicago LLC related to its alleged misconduct.

Read More
March 18, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
ABN AMRO Clearing Chicago LLC
March 18, 2020

Investor Alert: Thomas Francis Sullivan was fined $5,000 and suspended $45,000 for violating net capital requirements

March 18, 2020/ Jon Furgison
Investor Alert: Thomas Francis Sullivan was fined $5,000 and suspended $45,000 for violating net capital requirements

Furgison Law Group is considering potential claims against Alexander Capital related to alleged misconduct by Thomas Francis Sullivan.

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March 18, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Thomas Francis Sullivan, Alexander Capital
March 18, 2020

Investor Alert: Thomas John Lykos Jr. was named in a FINRA complaint for cheating on his Series 24 exam

March 18, 2020/ Jon Furgison
Investor Alert: Thomas John Lykos Jr. was named in a FINRA complaint for cheating on his Series 24 exam

Furgison Law Group is considering potential claims against Sanders Morris Harris, Commerce Street Capital and Thomas John Lykos Jr. related to his alleged misconduct.

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March 18, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Thomas John Lykos Jr.
March 18, 2020

Investor Alert: Halil Kozi was named in a FINRA complaint for willfully violated Section 10(b) of the S.E.A. of 1934, Rule 10b-5

March 18, 2020/ Jon Furgison
Investor Alert: Halil Kozi was named in a FINRA complaint for willfully violated Section 10(b) of the S.E.A. of 1934, Rule 10b-5

Furgison Law Group is considering potential claims against Buckman Buckman & Reid, PHX Financial and Halil Kozi related to his alleged misconduct.

Read More
March 18, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Halil Kozi
March 18, 2020

Investor Alert: Raleigh Edward Kraft was fined $5,000 and suspended for using personal email with clients

March 18, 2020/ Jon Furgison
Investor Alert: Raleigh Edward Kraft was fined $5,000 and suspended for using personal email with clients

Furgison Law Group is considering potential claims against H. Beck Inc., Wells Fargo and Raleigh Edward Kraft related to his alleged misconduct.

Read More
March 18, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Raleigh Edward Kraft
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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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