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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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Firm News


February 14, 2020

FINRA has fined and banned George Merhoff Jr. permanently from the securities industry

February 14, 2020/ Jon Furgison
FINRA has fined and banned George Merhoff Jr. permanently from the securities industry

Furgison Law Group is considering potential claims against Cetera Advisors LLC related to alleged misconduct by George Merhoff.

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February 14, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
George Merhoff, Cetera Advisors LLC
January 23, 2020

FINRA Suspended Brett David Levinson 30 days and fined him $5k for improperly disclosing personal customer information

January 23, 2020/ Jon Furgison
FINRA Suspended Brett David Levinson 30 days and fined him $5k for improperly disclosing personal customer information

Furgison Law Group is considering potential claims against Stifel, Nicolaus & Company and Hilltop Securities Inc., related to alleged misconduct by Brett Levinson.

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January 23, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Stifel Nicolaus & Company, Hilltop Securities Inc., Brett Levinson
January 23, 2020

FINRA Suspended Harvey Frank 30 days and fined him $5k for improperly disclosing personal customer information

January 23, 2020/ Jon Furgison
FINRA Suspended Harvey Frank 30 days and fined him $5k for improperly disclosing personal customer information

Furgison Law Group is considering potential claims against Stifel, Nicolaus & Company and Hilltop Securities Inc., related to alleged misconduct by Harvey Frank.

Read More
January 23, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Harvey Frank, Stifel Nicolaus & Company, Hilltop Securities Inc.
November 16, 2019

Investor Alert: FINRA fines Citigroup Global Markets Inc. $1.25 Million for failing to appropriately fingerprint or screen employees

November 16, 2019/ Jon Furgison
Investor Alert: FINRA fines Citigroup Global Markets Inc. $1.25 Million for failing to appropriately fingerprint or screen employees

Furgison Law Group is considering potential claims against Citigroup Global Markets Inc. related to alleged its misconduct.

Read More
November 16, 2019/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Citigroup Global Markets Inc.
November 16, 2019

Investor Alert: Summit Brokerage Services, Inc. was fined more than $880,000 for failure to supervise

November 16, 2019/ Jon Furgison
Investor Alert:  Summit Brokerage Services, Inc. was fined more than $880,000 for failure to supervise

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

Read More
November 16, 2019/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Summit Brokerage Services Inc.
November 16, 2019

Investor Alert: Louis Mark Miller was barred from FINRA for failing to provide testimony

November 16, 2019/ Jon Furgison
Investor Alert: Louis Mark Miller was barred from FINRA for failing to provide testimony

Furgison Law Group is considering potential claims against LPL FINANCIAL LLC or WELLS FARGO ADVISORS, LLC, related to alleged misconduct by Louis Mark Miller.

Read More
November 16, 2019/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
LPL FINANCIAL LLC, Louis Mark Miller
November 16, 2019

Investor Alert: Robert Juan Escobio was disqualified for failing to provide information and documents requested by FINRA

November 16, 2019/ Jon Furgison
Investor Alert: Robert Juan Escobio was disqualified for failing to provide information and documents requested by FINRA

Furgison Law Group is considering potential claims against SOUTHERN TRUST SECURITIES, INC. related to alleged misconduct by Robert Juan Escobio.

Read More
November 16, 2019/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
SOUTHERN TRUST SECURITIES INC., Robert Juan Escobio
November 16, 2019

Investor Alert: FINRA filed Complaint against Wilfredo Felix for falsifying books and records

November 16, 2019/ Jon Furgison
Investor Alert:  FINRA filed Complaint against Wilfredo Felix for falsifying books and records

Furgison Law Group is considering potential claims against Primex Prime Electronic Execution, Inc related to alleged misconduct by Wilfredo Felix.

Read More
November 16, 2019/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Primex Prime Electronic Execution Inc, Wilfredo Felix, Primex Prime Electronic Execution Inc. dba Primex
November 16, 2019

Investor Alert: Brian Colin Doherty was suspended from FINRA for two years for violating FINRA rules

November 16, 2019/ Jon Furgison
Investor Alert: Brian Colin Doherty  was suspended from  FINRA for two years for violating FINRA rules

Furgison Law Group is considering potential claims against LPS CAPITAL LLC, WHITAKER SECURITIES LLC, or BGC FINANCIAL, L.P., related to alleged misconduct by Brian Colin Doherty.

Read More
November 16, 2019/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
LPS CAPITAL LLC, Brian Colin Doherty
November 16, 2019

Investor Alert: Eric Nichols was fined $5,000 and suspended from FINRA for 15 days for making settlement payment to customer

November 16, 2019/ Jon Furgison
Investor Alert:  Eric Nichols was fined $5,000 and suspended from FINRA for 15 days for making settlement payment to customer

Furgison Law Group is considering potential claims against MORGAN STANLEY related to alleged misconduct by Eric Nichols.

Read More
November 16, 2019/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
MORGAN STANLEY, Eric Nichols
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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 
315 S. Beverly Drive, Suite 315, Beverly Hills, CA 90212
26901 Agoura Rd, Suite 180, Agoura Hills, CA 91301 (By appointment only)

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