FINRA assessed Michael David Rasmovich a deferred fine of $10,000 and suspended him for two months.

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FINRA assessed Michael David Rasmovich a deferred fine of $10,000 and suspended him for two months.

The securities fraud lawyers at Furgison Law Group are currently investigating claims against Michael David Rasmovich and Waddell & Reed, 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 fined James Jeffery Nixon $15,000 and suspended him for three months for selling away

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FINRA fined James Jeffery Nixon $15,000 and suspended him for three months for selling away

The securities fraud lawyers at Furgison Law Group are currently investigating claims against James Jeffery Nixon, Source Capital Group, Inc., and Bridge Capital Associates, Inc. The arbitration specialists at Furgison Law Group are investigating claims involving allegations of selling away, 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 assessed Kevin Patrick Murphy a deferred fine of $10,000 and suspended him for 12 months.

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FINRA assessed Kevin Patrick Murphy a deferred fine of $10,000 and suspended him for 12 months.

The securities fraud lawyers at Furgison Law Group are currently investigating claims against Kevin Patrick Murphy, TGP Securities, Inc., Creation Capital, LLC and Northeast Securities, 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 assessed Andrew Clinton LeGros a deferred fine of $15,000 and suspended him for three months.

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FINRA assessed Andrew Clinton LeGros a deferred fine of $15,000 and suspended him for three months.

The securities fraud lawyers at Furgison Law Group are currently investigating claims against Andrew Clinton LeGros, Wells Fargo Advisors, LLC and 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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FINRA assessed Katherine Farber Lapidoth a fine of $15,000 and suspended her for two years

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FINRA assessed Katherine Farber Lapidoth a fine of $15,000 and suspended her for two years

The securities fraud lawyers at Furgison Law Group are currently investigating claims against Katherine Farber Lapidoth, Wells Fargo Advisors, LLC and Morgan Stanley Smith Barney. 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 Steven Ray Hinkle $10,000 and suspended him for 20 days.

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FINRA fined Steven Ray Hinkle $10,000 and suspended him for 20 days.

The securities fraud lawyers at Furgison Law Group are currently investigating claims against Steven Ray Hinkle, Dynasty Capital Partners, Inc., and JP Turner & 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 assessed a deferred fine of $5,000 and suspended James P. Hilty, Jr., for 45 days.

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FINRA assessed a deferred fine of $5,000 and suspended James P. Hilty, Jr., for 45 days.

The securities fraud lawyers at Furgison Law Group are currently investigating claims against James P. Hilty, Jr., and Edward Jones. The arbitration specialists at Furgison Law Group are investigating claims involving allegations of unauthorized trading, 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 and suspends Sheldon Jay Harber for selling away

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FINRA fines and suspends Sheldon Jay Harber for selling away

The securities fraud lawyers at Furgison Law Group are currently investigating claims against Sheldon Jay Harber, Cambridge Investment Research, Inc., and Geneos Wealth Management, Inc. The arbitration specialists at Furgison Law Group are investigating claims involving allegations of  selling away, 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 assessed a deferred fine of $35,000 and suspended Michael William Hajek III for 18 months

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FINRA assessed a deferred fine of $35,000 and suspended Michael William Hajek III for 18 months

The securities fraud lawyers at Furgison Law Group are currently investigating claims against Michael William Hajek, III, Cetera Financial Specialists, LLC and NFP Securities, Inc. The arbitration specialists at Furgison Law Group are investigating claims involving allegations of selling away, 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 barred Michael Roger Griffith from association with any member firm

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FINRA barred Michael Roger Griffith from association with any member firm

The securities fraud lawyers at Furgison Law Group are currently investigating claims against Michael Roger Griffith, NYLIFE Securities LLC and Securities Service 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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