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


March 17, 2020

Investor Alert: Karen Paek was barred for forging the individuals’ electronic signatures

March 17, 2020/ Jon Furgison

Furgison Law Group is considering potential claims against Pruco Securities LLC, First Investors Corporation related to alleged misconduct by Karen Paek.

Read More
March 17, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Karen Paek
March 17, 2020

Investor Alert: David John Volpe was barred for refusing to produce information and documents requested by FINRA

March 17, 2020/ Jon Furgison

Furgison Law Group is considering potential claims against LPL Financial LLC, National Planning Corporation related to alleged misconduct. by David John Volpe.

Read More
March 17, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
David John Volpe
March 17, 2020

Investor Alert: Orlando Vargas was barred for converting funds to which he was not entitled

March 17, 2020/ Jon Furgison
Investor Alert: Orlando Vargas was barred for converting funds to which he was not entitled

Furgison Law Group is considering potential claims against Fidelity Brokerage Services LLC related to alleged misconduct by Orlando Vargas.

Read More
March 17, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Orlando Vargas
March 17, 2020

Investor Alert: Beth Ann Hamilton was barred for refusing to appear for on-the-record testimony requested by FINRA

March 17, 2020/ Jon Furgison
Investor Alert: Beth Ann Hamilton was barred for refusing to appear for on-the-record testimony requested by FINRA

Furgison Law Group is considering potential claims against Edward Jones, M&T Securities, Inc., related to alleged misconduct of Beth Ann Hamilton.

Read More
March 17, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Beth Ann Hamilton
March 17, 2020

Investor Alert: Windsor Street Capital was fined $500,000 for failing to adequately supervise its Chicago office

March 17, 2020/ Jon Furgison
Investor Alert: Windsor Street Capital was fined $500,000 for failing to adequately supervise its Chicago office

Furgison Law Group is considering potential claims against Windsor Street Capital related to its alleged misconduct.

Read More
March 17, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Windsor Street Capital
March 17, 2020

Investor Alert: Van Clemens & Co. Incorporated censured and fined $50,000 for failing to establish and maintain a supervisory system

March 17, 2020/ Jon Furgison
Investor Alert: Van Clemens & Co. Incorporated censured and fined $50,000 for failing to establish and maintain a supervisory system

Furgison Law Group is considering potential claims against Van Clemens & Co. Incorporated related to its alleged misconduct.

Read More
March 17, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Van Clemens & Co. Incorporated
March 17, 2020

Investor Alert: Summit Brokerage Services, Inc. was censured and fined $40,000 for failing to assign a principal to review the hard-copy correspondence.

March 17, 2020/ Jon Furgison
Investor Alert: Summit Brokerage Services, Inc. was censured and fined $40,000 for failing to assign a principal to review the hard-copy correspondence.

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

Read More
March 17, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Summit Brokerage Services Inc.
March 17, 2020

Investor Alert: Lime Brokerage LLC was censured, fined $625,000 for failing respond to red flags of potentially manipulative trading

March 17, 2020/ Jon Furgison
Investor Alert:  Lime Brokerage LLC was censured, fined $625,000 for failing respond to red flags of potentially manipulative trading

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

Read More
March 17, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Lime Brokerage LLC
March 17, 2020

Investor Alert: Seven Points Capital, LLC was censured and fined $20,000 for failing to enforce its written procedures

March 17, 2020/ Jon Furgison
Investor Alert: Seven Points Capital, LLC was censured and fined $20,000 for failing to enforce its written procedures

Furgison Law Group is considering potential claims against Seven Points Capital, LLC related to alleged its misconduct.

Read More
March 17, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Seven Points Capital LLC
March 17, 2020

Investor Alert: Dinosaur Financial Group, L.L.C was censured and fined $200,000 for failing to timely report municipal securities transactions

March 17, 2020/ Jon Furgison
Investor Alert: Dinosaur Financial Group, L.L.C was censured and fined $200,000 for failing to timely report municipal securities transactions

Furgison Law Group is considering potential claims against Dinosaur Financial Group, L.L.C related to its alleged misconduct.

Read More
March 17, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Dinosaur Financial Group L.L.C
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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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