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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 19, 2020

Investor Alert: SG Americas Securities, LLC was censured and fined $30,000 for violating Regulation SHO

March 19, 2020/ Jon Furgison
Investor Alert: SG Americas Securities, LLC was censured and fined $30,000 for violating Regulation SHO

Furgison Law Group is considering potential claims against SG Americas Securities, LLC related to alleged misconduct.

Read More
March 19, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
SG Americas Securities, LLC
March 19, 2020

Investor Alert: Goldman Sachs & Co. LLC was censured and fined $130,000 for municipal bond trading violations

March 19, 2020/ Jon Furgison
Investor Alert: Goldman Sachs & Co. LLC was censured and fined $130,000 for municipal bond trading violations

Furgison Law Group is considering potential claims against Goldman Sachs & Co. LLC. related to alleged misconduct.

Read More
March 19, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Goldman Sachs & Co. LLC
March 19, 2020

Investor Alert: First Financial Equity Corporation was censured and fined $200,000 for failing to file amended Form U4s

March 19, 2020/ Jon Furgison
Investor Alert: First Financial Equity Corporation was censured and fined $200,000 for failing to file amended Form U4s

Furgison Law Group is considering potential claims against First Financial Equity Corporation, Inc. related to alleged misconduct.

Read More
March 19, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
First Financial Equity Corporation
March 19, 2020

Investor Alert: Cowen and Company was censured and fined $120,000 for violating the Securities Exchange Act of 1934 Rule 101

March 19, 2020/ Jon Furgison
Investor Alert: Cowen and Company was censured and fined $120,000 for violating the Securities Exchange Act of 1934 Rule 101

Furgison Law Group is considering potential claims against Cowen and Company, Inc. related to alleged misconduct.

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

Investor Alert: Jefferies Execution Services, Inc. was censured and fined $215,000 for failing to establish supervisory system

March 19, 2020/ Jon Furgison
Investor Alert: Jefferies Execution Services, Inc. was censured and fined $215,000 for failing to establish supervisory system

Furgison Law Group is considering potential claims against Jefferies Execution Services, Inc. related to alleged misconduct.

Read More
March 19, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Jefferies Execution Services Inc.
March 19, 2020

Investor Alert: Nomura Securities International, Inc. was censured and fined $300,000 for supervisory failures

March 19, 2020/ Jon Furgison
Investor Alert: Nomura Securities International, Inc. was censured and fined $300,000 for supervisory failures

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

Read More
March 19, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Nomura Securities International Inc.
March 19, 2020

Investor Alert: KGS-Alpha Capital Markets was censured and fined $30,000 for failing to report to the TRACE

March 19, 2020/ Jon Furgison
Investor Alert: KGS-Alpha Capital Markets was censured and fined $30,000 for failing to report to the TRACE

Furgison Law Group is considering potential claims against KGS-Alpha Capital Markets related to alleged misconduct.

Read More
March 19, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
KGS-Alpha Capital Markets
March 19, 2020

Investor Alert: Key Investment Services LLC was censured and fined $425,000 for failing to establish supervisory systems

March 19, 2020/ Jon Furgison
Investor Alert: Key Investment Services LLC was censured and fined $425,000 for failing to establish supervisory systems

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

Read More
March 19, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Key Investment Services LLC
March 19, 2020

Investor Alert: PUMA Capital, LLC was censured and fined $15,000 for failing to implement adequate OTC policies

March 19, 2020/ Jon Furgison
Investor Alert: PUMA Capital, LLC was censured and fined $15,000 for failing to implement adequate OTC policies

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

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

Investor Alert: D.A. Davidson & Co. was censured and fined $85,000 for providing inaccurate statements

March 19, 2020/ Jon Furgison
Investor Alert: D.A. Davidson & Co. was censured and fined $85,000 for providing inaccurate statements

Furgison Law Group is considering potential claims against D.A. Davidson & Co. related to alleged misconduct.

Read More
March 19, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
D.A. Davidson & Co.
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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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