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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: Merrill Lynch, Pierce, Fenner & Smith Inc. was censured and fined $150,000 for allowing an individual who was an executive with its non-FINRA member to function

November 10, 2023/ Jon Furgison
Investor Alert: Merrill Lynch, Pierce, Fenner & Smith Inc. was censured and fined $150,000 for allowing an individual who was an executive with its non-FINRA member to function

Furgison Law Group is considering potential claims against Merrill Lynch, Pierce, Fenner & Smith Inc. related to its alleged misconduct.

Read More
November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Merrill Lynch Pierce Fenner & Smith Inc.
November 10, 2023

Investor Alert: Lime Brokerage LLC was censured and fined $100,000 for overstating its executed trade volume advertised through Bloomberg

November 10, 2023/ Jon Furgison
Investor Alert:  Lime Brokerage LLC was censured and fined $100,000 for overstating its executed trade volume advertised through Bloomberg

Furgison Law Group is considering potential claims against Lime Brokerage LLC related to its alleged misconduct.

Read More
November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Lime Brokerage LLC
November 10, 2023

Investor Alert: VectorGlobal WPG, Inc was censured and fined $17,500 for reporting customer transactions to TRACE as agent

November 10, 2023/ Jon Furgison
Investor Alert: VectorGlobal WPG, Inc was censured and fined $17,500 for reporting customer transactions to TRACE as agent

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

Read More
November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
VectorGlobal WPG Inc
November 10, 2023

Investor Alert: CODA Markets, Inc. fka PDQ ATS, Inc. was censured and fined $125,000 for publishing inaccurate data in monthly reports

November 10, 2023/ Jon Furgison
Investor Alert: CODA Markets, Inc. fka PDQ ATS, Inc. was  censured and fined $125,000  for publishing inaccurate data in monthly reports

Furgison Law Group is considering potential claims against CODA Markets, Inc. fka PDQ ATS, Inc. related to its alleged misconduct.

Read More
November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
CODA Markets Inc. fka PDQ ATS Inc.
November 10, 2023

Investor Alert: SunTrust Investment Services, Inc. was censured and fined $50,000 for failing to establish, maintain and enforce a supervisory system

November 10, 2023/ Jon Furgison
Investor Alert: SunTrust Investment Services, Inc. was censured and fined $50,000 for failing to establish, maintain and enforce a supervisory system

Furgison Law Group is considering potential claims against SunTrust Investment Services, Inc. related to its alleged misconduct.

Read More
November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
SunTrust Investment Services Inc.
November 10, 2023

Investor Alert: Ustocktrade Securities, Inc. was censured and fined $15,000 for failing to maintain adequate balances

November 10, 2023/ Jon Furgison
Investor Alert: Ustocktrade Securities, Inc. was censured and fined $15,000  for failing to maintain adequate balances

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

Read More
November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Ustocktrade Securities Inc.
November 10, 2023

Investor Alert: Santander Investment Securities Inc. was censured and fined $30,000 for failing to reasonably supervise its credit trading desk

November 10, 2023/ Jon Furgison
Investor Alert: Santander Investment Securities Inc. was censured and fined $30,000 for failing to reasonably supervise its credit trading desk

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

Read More
November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Santander Investment Securities Inc.
November 10, 2023

Investor Alert: Axiom Capital Management, Inc. was censured and fined $37,500 for allowing investor funds to be escrowed in an account

November 10, 2023/ Jon Furgison
Investor Alert: Axiom Capital Management, Inc. was censured and fined $37,500 for allowing investor funds to be escrowed in an account

Furgison Law Group is considering potential claims against Axiom Capital Management, Inc. related to its alleged misconduct.

Read More
November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Axiom Capital Management Inc.
November 10, 2023

Investor Alert: Thomas Maroun Hakim was barred for failing to provide information and documents requested by FINRA

November 10, 2023/ Jon Furgison
Investor Alert: Thomas Maroun Hakim was barred for failing to provide information and documents requested by FINRA

Furgison Law Group is considering potential claims against G. A. REPPLE & COMPANY related to alleged misconduct by Thomas Maroun Hakim.

Read More
November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Thomas Maroun Hakim, G. A. REPPLE & COMPANY
November 10, 2023

Investor Alert: Bryce Patrick Jenney was barred for failing to produce documents and to appear requested by FINRA

November 10, 2023/ Jon Furgison
Investor Alert: Bryce Patrick Jenney was barred for failing to produce documents and to appear requested by FINRA

Furgison Law Group is considering potential claims against RAYMOND JAMES & ASSOCIATES, INC. related to alleged misconduct by Bryce Patrick Jenney.

Read More
November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Bryce Patrick Jenney, RAYMOND JAMES & ASSOCIATES 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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