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Stock Fraud Lawyer | Securities Arbitration Attorneys| Furgison Law Group
  • Firm Profile/
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    • Life Insurance & Annuity Claims
    • Securities Arbitration
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  • Investigations/
  • FAQ/
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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


March 18, 2020

Investor Alert: Dougherty & Company LLC was censured and fined $25,000 for failing to comply with an arbitration award

March 18, 2020/ Jon Furgison
Investor Alert: Dougherty & Company LLC was censured and fined $25,000 for failing to comply with an arbitration award

Furgison Law Group is considering potential claims against Dougherty & Company LLC related to its alleged misconduct.

Read More
March 18, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Dougherty & Company LLC
March 18, 2020

Investor Alert: ABN AMRO Clearing Chicago LLC was censured and fined $150,000

March 18, 2020/ Jon Furgison
Investor Alert: ABN AMRO Clearing Chicago LLC was censured and fined $150,000

Furgison Law Group is considering potential claims against ABN AMRO Clearing Chicago LLC related to its alleged misconduct.

Read More
March 18, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
ABN AMRO Clearing Chicago LLC
March 18, 2020

Investor Alert: Thomas Francis Sullivan was fined $5,000 and suspended $45,000 for violating net capital requirements

March 18, 2020/ Jon Furgison
Investor Alert: Thomas Francis Sullivan was fined $5,000 and suspended $45,000 for violating net capital requirements

Furgison Law Group is considering potential claims against Alexander Capital related to alleged misconduct by Thomas Francis Sullivan.

Read More
March 18, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Thomas Francis Sullivan, Alexander Capital
March 18, 2020

Investor Alert: Thomas John Lykos Jr. was named in a FINRA complaint for cheating on his Series 24 exam

March 18, 2020/ Jon Furgison
Investor Alert: Thomas John Lykos Jr. was named in a FINRA complaint for cheating on his Series 24 exam

Furgison Law Group is considering potential claims against Sanders Morris Harris, Commerce Street Capital and Thomas John Lykos Jr. related to his alleged misconduct.

Read More
March 18, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Thomas John Lykos Jr.
March 18, 2020

Investor Alert: Halil Kozi was named in a FINRA complaint for willfully violated Section 10(b) of the S.E.A. of 1934, Rule 10b-5

March 18, 2020/ Jon Furgison
Investor Alert: Halil Kozi was named in a FINRA complaint for willfully violated Section 10(b) of the S.E.A. of 1934, Rule 10b-5

Furgison Law Group is considering potential claims against Buckman Buckman & Reid, PHX Financial and Halil Kozi related to his alleged misconduct.

Read More
March 18, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Halil Kozi
March 18, 2020

Investor Alert: Raleigh Edward Kraft was fined $5,000 and suspended for using personal email with clients

March 18, 2020/ Jon Furgison
Investor Alert: Raleigh Edward Kraft was fined $5,000 and suspended for using personal email with clients

Furgison Law Group is considering potential claims against H. Beck Inc., Wells Fargo and Raleigh Edward Kraft related to his alleged misconduct.

Read More
March 18, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Raleigh Edward Kraft
March 18, 2020

Investor Alert: David Manor was suspended for for participating in an unapproved outside business activity

March 18, 2020/ Jon Furgison
Investor Alert: David Manor was suspended for for participating in an unapproved outside business activity

Furgison Law Group is considering potential claims against Wells Fargo, Santander Securities and David Manor related to his alleged misconduct.

Read More
March 18, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
David Manor
March 18, 2020

Investor Alert: David C. Vanech was fined $3,000, suspended for cheating on his continuing education training

March 18, 2020/ Jon Furgison
Investor Alert: David C. Vanech was fined $3,000, suspended for cheating on his continuing education training

Furgison Law Group is considering potential claims against Oppenheimer & Co. and David C. Vanech related to his alleged misconduct.

Read More
March 18, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
David C. Vanech
March 18, 2020

Investor Alert: Lori Rood Thompson was fined $5,000 and suspended for unauthorized transfers totaling $367,387.57

March 18, 2020/ Jon Furgison
Investor Alert:  Lori Rood Thompson was fined $5,000 and suspended for unauthorized transfers totaling $367,387.57

Furgison Law Group is considering potential claims against UBS Financial and Lori Rood Thompson related to his alleged misconduct.

Read More
March 18, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Lori Rood Thompson
March 18, 2020

Investor Alert: Christopher Lowell Childers was fined $5,000 and suspended for failing to timely execute a customer’s transaction

March 18, 2020/ Jon Furgison
Investor Alert: Christopher Lowell Childers was  fined $5,000 and suspended for failing to timely execute a customer’s transaction

Furgison Law Group is considering potential claims against Cambridge Investment Research, Inc. and Christopher Lowell Childers related to his alleged misconduct.

Read More
March 18, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Christopher Lowell Childers
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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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