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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

July 03, 2020

Investor Alert: Chapin Davis, Inc was censured and fined $35,000 for failing to fully implement its procedures

July 03, 2020/ Jon Furgison
Investor Alert: Chapin Davis, Inc was censured and fined $35,000 for failing to fully implement its procedures

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

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July 03, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Chapin Davis Inc
July 03, 2020

Investor Alert: Northwestern Mutual Investment Services, LLC censured and fined $350,000 for failing to supervise

July 03, 2020/ Jon Furgison
Investor Alert: Northwestern Mutual Investment Services, LLC censured and fined $350,000 for failing to supervise

Furgison Law Group is considering potential claims against Northwestern Mutual Investment Services, LLC related to its alleged misconduct.

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July 03, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Northwestern Mutual Investment Services LLC
June 17, 2020

Investor Alert: Steven Harris was named in a FINRA complaint for manufacturing faked documents

June 17, 2020/ Jon Furgison
Investor Alert: Steven Harris was named in a FINRA complaint for manufacturing faked documents

Furgison Law Group is considering potential claims against TRANSAMERICA FINANCIAL ADVISORS, INC related to alleged misconduct by Steven Harris.

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June 17, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Steven Harris, TRANSAMERICA FINANCIAL ADVISORS INC
June 17, 2020

Investor Alert: David Ray Oakes was named in a FINRA complaint for structuring cash deposits and withdrawals

June 17, 2020/ Jon Furgison
Investor Alert: David Ray Oakes was named in a FINRA complaint for structuring cash deposits and withdrawals

Furgison Law Group is considering potential claims against PROSPERA FINANCIAL SERVICES, INC related to alleged misconduct by David Ray Oakes.

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June 17, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
David Ray Oakes, PROSPERA FINANCIAL SERVICES INC
June 17, 2020

Investor Alert: Raymond Alexander Thomas was named in a FINRA complaint for unapproved outside business activities

June 17, 2020/ Jon Furgison
Investor Alert: Raymond Alexander Thomas was named in a FINRA complaint for unapproved outside business activities

Furgison Law Group is considering potential claims against Pluris NETWORK 1 FINANCIAL SECURITIES INC related to alleged misconduct by Raymond Alexander Thomas.

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June 17, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Raymond Alexander Thomas, NETWORK 1 FINANCIAL SECURITIES INC
June 17, 2020

Investor Alert: Mark Thomas Lamkin was fined $7,500 and suspended for borrowing $1,265,000 from a customer

June 17, 2020/ Jon Furgison
Investor Alert: Mark Thomas Lamkin was fined $7,500 and suspended for borrowing $1,265,000 from a customer

Furgison Law Group is considering potential claims against CALTON & ASSOCIATES, INC. related to alleged misconduct by Mark Thomas Lamkin.

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June 17, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
CALTON & ASSOCIATES INC.
June 17, 2020

Investor Alert: William James Hite was fined $7,500 and suspended forging an elderly customer’s signature

June 17, 2020/ Jon Furgison
Investor Alert: William James Hite was fined $7,500 and suspended forging an elderly customer’s signature

Furgison Law Group is considering potential claims against NYLIFE SECURITIES LLC related to alleged misconduct by William James Hite.

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June 17, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
William James Hite, NYLIFE SECURITIES LLC
June 17, 2020

Investor Alert: Charles Henry Postel was fined $5,000 and suspended for effecting pairs of agency cross transactions

June 17, 2020/ Jon Furgison
Investor Alert: Charles Henry Postel was fined $5,000 and suspended for effecting pairs of agency cross transactions

Furgison Law Group is considering potential claims against STIFEL, NICOLAUS & COMPANY, INCORPORATED related to alleged misconduct by Charles Henry Postel.

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June 17, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Charles Henry Postel, STIFEL NICOLAUS & COMPANY INCORPORATED
June 17, 2020

Investor Alert: Jennifer Lillian Basey was fined $5,000 and suspended for falsifying a customer’s signature

June 17, 2020/ Jon Furgison
Investor Alert: Jennifer Lillian Basey was fined $5,000 and suspended for falsifying a customer’s signature

Furgison Law Group is considering potential claims against STIFEL, NICOLAUS & COMPANY, INCORPORATED. related to alleged misconduct by Jennifer Lillian Basey .

Read More
June 17, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Jennifer Lillian Basey, STIFEL NICOLAUS & COMPANY INCORPORATED.
June 17, 2020

Investor Alert: Sofia T. Gonzalez was fined $5,000 and suspended for sharing in losses incurred by customers

June 17, 2020/ Jon Furgison
Investor Alert: Sofia T. Gonzalez was fined $5,000 and suspended for sharing in losses incurred by customers

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

Read More
June 17, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Sofia T. Gonzalez, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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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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