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

March 18, 2020

Investor Alert: Hilltop Securities Inc. was censured and fined $250,000 for supervision failures

March 18, 2020/ Jon Furgison
Investor Alert: Hilltop Securities Inc. was censured and fined $250,000 for supervision failures

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

Read More
March 18, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Hilltop Securities Inc.
March 18, 2020

Investor Alert: Wellington Shields & Co., LLC was censured and fined $100,000 for failing to keep accurate records of customer confirmation and trade blotters

March 18, 2020/ Jon Furgison
Investor Alert: Wellington Shields & Co., LLC was censured and fined $100,000 for failing to keep accurate records of customer confirmation and trade blotters

Furgison Law Group is considering potential claims against Wellington Shields & Co., LLC related to its alleged misconduct.

Read More
March 18, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Wellington Shields & Co. LLC
March 18, 2020

Investor Alert: Ace Diversified Capital, Inc. was censured and fined $20,000 for failing to supervise the sale of ETFs and ETNs

March 18, 2020/ Jon Furgison
Investor Alert: Ace Diversified Capital, Inc. was censured and fined $20,000 for failing to supervise the sale of ETFs and ETNs

Furgison Law Group is considering potential claims against Ace Diversified Capital, Inc. related to its alleged misconduct.

Read More
March 18, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Ace Diversified Capital Inc.
March 18, 2020

Investor Alert: Bruce Howard Jordan was fined $5,000 and suspended for inadequate supervision

March 18, 2020/ Jon Furgison
Investor Alert: Bruce Howard Jordan was fined $5,000 and suspended for inadequate supervision

Furgison Law Group is considering potential claims against Bruce Howard Jordan of Newbridge Securities Corporation related to his alleged misconduct.

Read More
March 18, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Bruce Howard Jordan, Newbridge Securities Corporation
March 18, 2020

Investor Alert: Bruce Meyers was barred for failing to establish and maintain a reasonable supervisory system

March 18, 2020/ Jon Furgison
Investor Alert: Bruce Meyers was barred for failing to establish and maintain a reasonable supervisory system

Furgison Law Group is considering potential claims against Bruce Meyers of Meyers Associates, L.P. nka Windsor Street Capital, LP related to his alleged misconduct.

Read More
March 18, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Bruce Meyers, Meyers Associates L.P. nka Windsor Street Capital LP
March 18, 2020

Investor Alert: Darren Michael Kubiak was fined $5,000 and suspended for failing to perform a reasonable basis suitability analysis of LIETFs

March 18, 2020/ Jon Furgison
Investor Alert: Darren Michael Kubiak was fined $5,000 and suspended for failing to perform a reasonable basis suitability analysis of LIETFs

Furgison Law Group is considering potential claims against Darren Michael Kubiak of Kalos Capital, Inc related to his alleged misconduct.

Read More
March 18, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Darren Michael Kubiak, Kalos Capital, Inc.
March 17, 2020

Investor Alert: Jesse Gil III was named in a FINRA complaint alleging that he converted approximately $2,500 from an 82-year-old widow

March 17, 2020/ Jon Furgison

Furgison Law Group is considering potential claims against Allstate Financial Services, Merrill Lynch and Jesse Gil related to alleged misconduct.

Read More
March 17, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Jesse Gil III
March 17, 2020

Investor Alert: FINRA Filed Complaint against Gurpreet Singh Chandhoke and Stephen Fitzgerald Shea

March 17, 2020/ Jon Furgison
Investor Alert: FINRA Filed Complaint against Gurpreet Singh Chandhoke and Stephen Fitzgerald Shea

Furgison Law Group is considering potential claims against Gurpreet Singh Chandhoke and Stephen Fitzgerald Shea related to their alleged misconduct.

Read More
March 17, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Gurpreet Singh Chandhoke, Stephen Fitzgerald Shea
March 17, 2020

Investor Alert: Ricky Alan Mantei was named a Respondent in FINRA Complaint for willful violation of MSRB Rule G-17

March 17, 2020/ Jon Furgison
Investor Alert: Ricky Alan Mantei was named a Respondent in FINRA Complaint for willful violation of MSRB Rule G-17

Furgison Law Group is considering potential claims against Centaurus Financial and Ricky Mantei related to alleged misconduct.

Read More
March 17, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Ricky Alan Mantei
March 17, 2020

Investor Alert: William James Potter was barred for converting $25,177.47, a portion of the funds entrusted to him

March 17, 2020/ Jon Furgison
Investor Alert: William James Potter was barred for converting $25,177.47, a portion of the funds entrusted to him

Furgison Law Group is considering potential claims against William James Potter related to his alleged misconduct.

Read More
March 17, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
William James Potter
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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 
445 31st Street, Hermosa Beach, CA 90254
26901 Agoura Rd, Suite 180, Agoura Hills, CA 91301

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