Stock Fraud Lawyer | Securities Arbitration Attorneys| Furgison Law Group
  • Firm Profile
  • Overview Life Insurance & Annuity Claims Securities Arbitration
  • Case Results
  • Videos
  • Investigations
  • FAQ
  • Contact Us
Stock Fraud Lawyer | Securities Arbitration Attorneys| Furgison Law Group
  • Firm Profile/
  • Practice Areas/
    • Overview
    • Life Insurance & Annuity Claims
    • Securities Arbitration
  • Case Results/
  • Videos/
  • Investigations/
  • FAQ/
  • Contact Us/
Blog laptop.jpg
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!

Blog

News and Investor Alerts on investment scams, financial adviser fraud and other stockbroker misconduct.

Stock Fraud Lawyer | Securities Arbitration Attorneys| Furgison Law Group
  • Firm Profile/
  • Practice Areas/
    • Overview
    • Life Insurance & Annuity Claims
    • Securities Arbitration
  • Case Results/
  • Videos/
  • Investigations/
  • FAQ/
  • Contact Us/
 

Firm News


March 17, 2020

Dawson James Securities, Inc. was censured and fined $20,000 for calling telephone numbers that appeared on the national do-not-call list

March 17, 2020/ Jon Furgison
Dawson James Securities, Inc. was censured and fined $20,000 for calling telephone numbers that appeared on the national do-not-call list

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

Read More
March 17, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Dawson James Securities Inc.
March 17, 2020

Investor Alert: Innovation Partners LLC was censured and fined $60,000 for failing to establish, maintain and enforce a supervisory system

March 17, 2020/ Jon Furgison
Investor Alert: Innovation Partners LLC was censured and fined $60,000 for failing to establish, maintain and enforce a supervisory system

Furgison Law Group is considering potential claims against Innovation Partners LLC related to alleged misconduct by Yanique Elaine Lawrence.

Read More
March 17, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Investor Alert: Innovation Partners LLC, Yanique Elaine Lawrence
March 11, 2020

Investor Alert: James Gregory McKinney is the subject of a FINRA complaint for failure to comply with FINRA requests

March 11, 2020/ Jon Furgison
Investor Alert: James Gregory McKinney is the subject of a FINRA complaint for failure to comply with FINRA requests

Furgison Law Group is considering potential claims against Cetera Advisors, Securian Financial Services, and James Gregory McKinney related to alleged misconduct.

Read More
March 11, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
James Gregory McKinney, Cetera Advisors LLC, Securian Financial Services
March 11, 2020

Investor Alert: Murry Meir Shapero was suspended and fined $20,000 for improper trading

March 11, 2020/ Jon Furgison
Investor Alert: Murry Meir Shapero was suspended and fined $20,000 for improper trading

Furgison Law Group is considering potential claims against Maxim Group, LLC, and Murry Meir Shapero related to alleged misconduct.

Read More
March 11, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Murry Meir Shapero, Maxim Group
March 11, 2020

Investor Alert: Rochelle Sophia Shoulders was suspended and fined for copying customer signatures

March 11, 2020/ Jon Furgison
Investor Alert: Rochelle Sophia Shoulders was suspended and fined for copying customer signatures

Furgison Law Group is considering potential claims against Rochelle Sophia Shoulders related to alleged misconduct.

Read More
March 11, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Murry Meir Shapero
March 11, 2020

Investor Alert: Eugene Nathan was suspended and fined $5,000 for effecting unauthorized transactions in his customer's IRA

March 11, 2020/ Jon Furgison
 Investor Alert: Eugene Nathan was suspended and fined $5,000 for effecting unauthorized transactions in his customer's IRA

Furgison Law Group is considering potential claims against Morgan Stanley, Fortune Financial and Eugene Nathan related to alleged misconduct.

Read More
March 11, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Eugene Nathan, Morgan Stanley, Fortune Financial
March 11, 2020

Investor Alert: Carmelo Arce Alvarez was suspended and fined $5,000 for exercising discretion without written authorization

March 11, 2020/ Jon Furgison
Investor Alert: Carmelo Arce Alvarez was suspended and fined $5,000 for exercising discretion without written authorization

Furgison Law Group is considering potential claims against Nationwide Planning Associates and Carmelo Arce Alvarez related to alleged misconduct.

Read More
March 11, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Carmelo Arce Alvarez, Nationwide Planning Associates
March 11, 2020

Investor Alert: Seth Michael was suspended and fined $5,000 for improperly used his member firm’s funds

March 11, 2020/ Jon Furgison
Investor Alert: Seth Michael was suspended and fined $5,000 for improperly used his member firm’s funds

Furgison Law Group is considering potential claims against Cantor Fitzgerald, RBC Capital and Seth Michael related to alleged misconduct.

Read More
March 11, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Seth Michael
March 11, 2020

Investor Alert: Harold Alan Schwartz was suspended and fined $5,000 for impersonating a customer

March 11, 2020/ Jon Furgison
Investor Alert: Harold Alan Schwartz was  suspended and fined $5,000 for impersonating a customer

Furgison Law Group is considering potential claims against Royal Alliance, DMK Advisor Group and Harold Alan Schwartz related to alleged misconduct.

Read More
March 11, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Harold Alan Schwartz
March 11, 2020

Investor Alert: David Quentin Kendrick was suspended and fined $30,000 for engaging in outside business activity

March 11, 2020/ Jon Furgison
Investor Alert: David Quentin Kendrick was suspended and fined $30,000 for engaging in outside business activity

Furgison Law Group is considering potential claims against New York Life Securities and David Quentin Kendrick related to alleged misconduct.

Read More
March 11, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
David Quentin Kendrick, NYLIFE Securities LLC
  • Previous
  • Next
  • Firm Profile/
  • Practice Areas/
    • Overview
    • Life Insurance & Annuity Claims
    • Securities Arbitration
  • Case Results/
  • Videos/
  • Investigations/
  • FAQ/
  • Contact Us/

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

Get Free Case Evaluation Now!

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)

The information on this website is for general information purposes only. Nothing on this site should be taken as legal advice for any individual case or situation. This information is not intended to create, and receipt or viewing does not constitute an attorney-client relationship. Attorney Advertisement.  Read Full Disclaimer >

©  2005-2026 Furgison Law Group, PC. All Rights Reserved.