FINRA fined Carlos Benavidez Jr., $10,000 and suspended him for two months

FINRA fined Carlos Benavidez Jr., $10,000 and suspended him for two months

The securities fraud lawyers at Furgison Law Group are currently investigating claims against Carlos Benavidez Jr., Waddell & Reed and International Assets Advisory, LLC. The arbitration specialists at Furgison Law Group are investigating claims involving allegations of breach of fiduciary duty, failure to supervise, misrepresentations, omissions of material facts, conflict of interests, violations of state and federal securities laws, along with other broker misconduct.

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FINRA suspends and fines James Warren Anderson $15,000

FINRA suspends and fines James Warren Anderson $15,000

The securities fraud lawyers at Furgison Law Group are currently investigating claims against James Warren Anderson, WFG Investments, Inc., and Advisors Clearing Network, Inc. The arbitration specialists at Furgison Law Group are investigating claims involving allegations of breach of fiduciary duty, failure to supervise, misrepresentations, omissions of material facts, conflict of interests, violations of state and federal securities laws, along with other broker misconduct.

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FINRA censured and fined Paulson Investment Company LLC $60,000

FINRA censured and fined Paulson Investment Company LLC $60,000

The securities fraud lawyers at Furgison Law Group are currently investigating claims against Paulson Investment Company LLC. The arbitration specialists at Furgison Law Group are investigating claims involving allegations of breach of fiduciary duty, failure to supervise, misrepresentations, omissions of material facts, conflict of interests, violations of state and federal securities laws, along with other broker misconduct

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FINRA fined Next Financial Group, Inc., $125,000 for failure to apply sales-charge discounts for UTI's

FINRA fined Next Financial Group, Inc., $125,000 for failure to apply sales-charge discounts for UTI's

The securities fraud lawyers at Furgison Law Group are currently investigating claims against Next Financial Group, Inc.. The arbitration specialists at Furgison Law Group are investigating claims involving allegations of breach of fiduciary duty, failure to supervise, misrepresentations, omissions of material facts, conflict of interests, violations of state and federal securities laws, along with other broker misconduct.

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FINRA censured and fined Mutual of Omaha Investor Services, Inc., $25,000

FINRA censured and fined Mutual of Omaha Investor Services, Inc., $25,000

The securities fraud lawyers at Furgison Law Group are currently investigating claims against Mutual of Omaha Investor Services, Inc. The arbitration specialists at Furgison Law Group are investigating claims involving allegations of breach of fiduciary duty, failure to supervise, misrepresentations, omissions of material facts, conflict of interests, violations of state and federal securities laws, along with other broker misconduct.

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FINRA censures and fines Key Investment Services LLC $100,000 for failure to apply sales charge discounts

FINRA censures and fines Key Investment Services LLC $100,000 for failure to apply sales charge discounts

The securities fraud lawyers at Furgison Law Group are currently investigating claims against Key Investment Services LLC, related to Unit Investment Trust (UTI) investments. The arbitration specialists at Furgison Law Group are investigating claims involving allegations of breach of fiduciary duty, failure to supervise, misrepresentations, omissions of material facts, conflict of interests, violations of state and federal securities laws, along with other broker misconduct.

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Edward Jones censured and fined $200,000 for failure to supervise securities transactions

Edward Jones censured and fined $200,000 for failure to supervise securities transactions

The securities fraud lawyers at Furgison Law Group are currently investigating claims against Edward D. Jones & Co., L.P., for failure to supervise securities transactions. The arbitration specialists at Furgison Law Group are investigating claims involving allegations of breach of fiduciary duty, failure to supervise, misrepresentations, omissions of material facts, conflict of interests, violations of state and federal securities laws, along with other broker misconduct.

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Barclays Capital, Inc., censured and fined $500,000 by FINRA for failing to disclose information regarding investment banking services

Barclays Capital, Inc., censured and fined $500,000 by FINRA for failing to disclose information regarding investment banking services

The securities fraud lawyers at Furgison Law Group are currently investigating claims against Barclays Capital Inc. The arbitration specialists at Furgison Law Group are investigating claims involving allegations of breach of fiduciary duty, failure to supervise, misrepresentations, omissions of material facts, conflict of interests, violations of state and federal securities laws, along with other broker misconduct.

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FINRA Fines Stifel, Nicolaus & Company $200,000 and Kurt August LaLomia $15,000

FINRA Fines Stifel, Nicolaus & Company $200,000 and Kurt August LaLomia $15,000

The securities fraud lawyers at Furgison Law Group are currently investigating claims against Kurt August LaLomia and his brokerage firm, Stifel, Nicolaus & Company. The arbitration specialists at Furgison Law Group are investigating claims involving allegations of breach of fiduciary duty, failure to supervise, misrepresentations, omissions of material facts, conflict of interests, violations of state and federal securities laws, along with other broker misconduct.

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Furgison Law Group filed a FINRA arbitration claim against National Planning Corporation on behalf of customers of Scott Melbrod

Furgison Law Group filed a FINRA arbitration claim against National Planning Corporation on behalf of customers of Scott Melbrod

The securities fraud lawyers at Furgison Law Group filed an arbitration claim against National Planning Corporation ("NPC") related to investments recommended by Scott Melbrod (CRD#4614202). The complaints against Mr. Melbrod and his firm, National Planning Corporation, related to the sale of Tenants-In-Common ("TIC") real estate investments, 1031 Exchange transactions and other real estate investments.

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