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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


June 17, 2020

Investor Alert: Scott Patrick Kozak was fined $10,000 and suspended for participating in three sets of private securities transactions

June 17, 2020/ Jon Furgison
Investor Alert: Scott Patrick Kozak was  fined $10,000 and suspended for participating in three sets of private securities transactions

Furgison Law Group is considering potential claims against CETERA ADVISORS LLC related to alleged misconduct by Scott Patrick Kozak.

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June 17, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Scott Patrick Kozak, CETERA ADVISORS LLC
June 17, 2020

Investor Alert: Taylor Cade Hoskins was fined $5,000 and suspended for using his member firm’s login credentials to access customer information

June 17, 2020/ Jon Furgison
Investor Alert: Taylor Cade Hoskins was fined $5,000 and suspended for using his member firm’s login credentials to access customer information

Furgison Law Group is considering potential claims against SAGEPOINT FINANCIAL, INC. related to alleged misconduct by Taylor Cade Hoskins.

Read More
June 17, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Taylor Cade Hoskins
June 17, 2020

Investor Alert: Halil Kozi was suspended for excessive trading

June 17, 2020/ Jon Furgison
Investor Alert: Halil Kozi was suspended for excessive trading

Furgison Law Group is considering potential claims against WINDSOR STREET CAPITAL, LP related to alleged misconduct by Halil Kozi.

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June 17, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Halil Kozi, WINDSOR STREET CAPITAL LP
June 17, 2020

Investor Alert: Tishon Lamon Afanador was fined $5,000 and suspended for failing to timely amend his Form U4

June 17, 2020/ Jon Furgison
Investor Alert: Tishon Lamon Afanador was fined $5,000 and suspended for failing to timely amend his Form U4

Furgison Law Group is considering potential claims against AEGIS CAPITAL CORP. related to alleged misconduct by Tishon Lamon Afanador.

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June 17, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Tishon Lamon Afanador, AEGIS CAPITAL CORP.
June 17, 2020

Investor Alert: Frederic Thomas O’Hara was fined $10,000 and suspended for engaging in outside business activity

June 17, 2020/ Jon Furgison
Investor Alert: Frederic Thomas O’Hara was fined $10,000 and suspended for engaging in outside business activity

Furgison Law Group is considering potential claims against SAGEPOINT FINANCIAL, INC. related to alleged misconduct by Frederic Thomas O’Hara.

Read More
June 17, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Frederic Thomas O’Hara, SAGEPOINT FINANCIAL INC.
June 17, 2020

Investor Alert: Caleb Austin Jamison was fined $7,500 and suspended for participating in a private securities transaction

June 17, 2020/ Jon Furgison
Investor Alert: Caleb Austin Jamison was fined $7,500 and suspended for participating in a private securities transaction

Furgison Law Group is considering potential claims against MML INVESTORS SERVICES, LLC related to alleged misconduct by Caleb Austin Jamison.

Read More
June 17, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Caleb Austin Jamison, MML INVESTORS SERVICES LLC
June 17, 2020

Investor Alert: Andre Derricotte was fined $5,000 and suspended for possessing and accessing unauthorized materials

June 17, 2020/ Jon Furgison
Investor Alert: Andre Derricotte was fined $5,000 and suspended for possessing and accessing unauthorized materials

Furgison Law Group is considering potential claims against MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED related to alleged misconduct by Andre Derricotte.

Read More
June 17, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Andre Derricotte, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED
June 17, 2020

Investor Alert: Quincy DeEarl Caldwell was fined $5,000 and suspended for recommending and effected unsuitable short-term trades

June 17, 2020/ Jon Furgison
Investor Alert: Quincy DeEarl Caldwell was fined $5,000 and suspended for recommending and effected unsuitable short-term trades

Furgison Law Group is considering potential claims against PLANMEMBER SECURITIES CORPORATION related to alleged misconduct by Quincy DeEarl Caldwell

Read More
June 17, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Quincy DeEarl Caldwell, PLANMEMBER SECURITIES CORPORATION
June 17, 2020

Investor Alert: William Blake McGowan was fined $7,500 and suspended for participating in a private securities transaction

June 17, 2020/ Jon Furgison
Investor Alert: William Blake McGowan was fined $7,500 and suspended for participating in a private securities transaction

Furgison Law Group is considering potential claims against MML INVESTORS SERVICES, LLC related to alleged misconduct by William Blake McGowan.

Read More
June 17, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
William Blake McGowan, MML INVESTORS SERVICES LLC
June 17, 2020

Investor Alert: John Stuart Crain was fined $5,000 and suspended for asking customers of his member firm to sign blank forms

June 17, 2020/ Jon Furgison
Investor Alert: John Stuart Crain was fined $5,000 and suspended for asking customers of his member firm to sign blank forms

Furgison Law Group is considering potential claims against CHAPIN, DAVIS related to alleged misconduct by John Stuart Crain.

Read More
June 17, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
John Stuart Crain, CHAPIN DAVIS
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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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