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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


November 10, 2023

Investor Alert: Spencer William Sullivant was suspended and fined $5,000 for he did study materials for the exam in his testing center’s restroom

November 10, 2023/ Jon Furgison
Investor Alert: Spencer William Sullivant  was suspended and fined $5,000 for he did study materials for the exam in his testing center’s restroom

Furgison Law Group is considering potential claims against EDWARD JONES related to alleged misconduct by Spencer William Sullivant.

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November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Spencer William Sullivant, EDWARD JONES
November 10, 2023

Investor Alert: Donald Stephen Woods was suspended and fined $10,000 for submitting applications to purchase real estate investment trusts

November 10, 2023/ Jon Furgison
Investor Alert: Donald Stephen Woods was suspended and  fined $10,000 for submitting applications to purchase real estate investment trusts

Furgison Law Group is considering potential claims against THURSTON SPRINGER FINANCIAL related to alleged misconduct by Donald Stephen Woods.

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November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Donald Stephen Woods, THURSTON SPRINGER FINANCIAL
November 10, 2023

Investor Alert: Sune Gaulsh was suspended and fined $10,000 for sending or attempting to send to himself through a personal email address confidential documents

November 10, 2023/ Jon Furgison
Investor Alert: Sune Gaulsh was suspended and  fined $10,000 for sending or attempting to send to himself through a personal email address confidential documents

Furgison Law Group is considering potential claims against BARCLAYS CAPITAL INC. related to alleged misconduct by Sune Gaulsh.

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November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
BARCLAYS CAPITAL INC., Sune Gaulsh
November 10, 2023

Investor Alert: Robert Gene Nordaune was suspended and fined $5,000 for falsifying a document by signing a recently widowed customer’s name

November 10, 2023/ Jon Furgison
Investor Alert: Robert Gene Nordaune was suspended and  fined $5,000 for falsifying a document by signing a recently widowed customer’s name

Furgison Law Group is considering potential claims against THRIVENT INVESTMENT MANAGEMENT INC. related to alleged misconduct by Robert Gene Nordaune.

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November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Robert Gene Nordaune, THRIVENT INVESTMENT MANAGEMENT INC.
November 10, 2023

Investor Alert: Jason Nicholas Dukas was suspended and fined $15,000 for participating in a private securities transaction involving a customer

November 10, 2023/ Jon Furgison
Investor Alert: Jason Nicholas Dukas was suspended and  fined $15,000 for participating in a private securities transaction involving a customer

Furgison Law Group is considering potential claims against STIFEL, NICOLAUS & COMPANY, INCORPORATED related to alleged misconduct by Jason Nicholas Dukas.

Read More
November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Jason Nicholas Dukas, STIFEL NICOLAUS & COMPANY INCORPORAT
November 10, 2023

Investor Alert: Benjamin R. Leitman was suspended and fined $5,000 for falsely signing customer names on account documents

November 10, 2023/ Jon Furgison
Investor Alert: Benjamin R. Leitman was suspended and fined $5,000 for falsely signing customer names on account documents

Furgison Law Group is considering potential claims against MORGAN STANLEY related to alleged misconduct by Benjamin R. Leitman.

Read More
November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Benjamin R. Leitman, MORGAN STANLEY
November 10, 2023

Investor Alert: Brandon Rolle was suspended and fined $5,000 for sending himself emails using a personal email account with documents attached

November 10, 2023/ Jon Furgison
Investor Alert: Brandon Rolle was suspended and  fined $5,000 for sending himself emails using a personal email account with documents attached

Furgison Law Group is considering potential claims against NORTHCOAST RESEARCH PARTNERS, LLC related to alleged misconduct by Brandon Rolle.

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November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Brandon Rolle, NORTHCOAST RESEARCH PARTNERS LLC
November 10, 2023

Investor Alert: Christopher M. Roumayeh was suspended and fined $15,000 for engaging in outside business activities without providing prior written notice

November 10, 2023/ Jon Furgison
Investor Alert: Christopher M. Roumayeh was suspended and fined $15,000 for engaging in outside business activities without providing prior written notice

Furgison Law Group is considering potential claims against MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATION related to alleged misconduct by Christopher M. Roumayeh.

Read More
November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Christopher M. Roumayeh, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATION
November 10, 2023

Investor Alert: Michelle Lynn Gill was suspended and fined $5,000 for participating in private securities transactions without providing written notice

November 10, 2023/ Jon Furgison
Investor Alert: Michelle Lynn Gill was suspended and fined $5,000 for participating in private securities transactions without providing written notice

Furgison Law Group is considering potential claims against PARADIGM EQUITIES, INC. related to alleged misconduct by Michelle Lynn Gill.

Read More
November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Michelle Lynn Gill, PARADIGM EQUITIES INC.
November 10, 2023

Investor Alert: Robert Nicholas Korzik was suspended and fined $8,500 for participating in and solicited customers of his member firm to invest

November 10, 2023/ Jon Furgison
Investor Alert: Robert Nicholas Korzik was suspended and  fined $8,500 for participating in and solicited customers of his member firm to invest

Furgison Law Group is considering potential claims against AMERIPRISE FINANCIAL SERVICES, INC. related to alleged misconduct by Robert Nicholas Korzik.

Read More
November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Robert Nicholas Korzik, AMERIPRISE FINANCIAL SERVICES INC.
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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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