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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 19, 2020

Investor Alert: Nomura Securities International, Inc. was censured and fined $300,000 for supervisory failures

March 19, 2020/ Jon Furgison
Investor Alert: Nomura Securities International, Inc. was censured and fined $300,000 for supervisory failures

Furgison Law Group is considering potential claims against Nomura Securities International, Inc. related to alleged misconduct.

Read More
March 19, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Nomura Securities International Inc.
March 19, 2020

Investor Alert: KGS-Alpha Capital Markets was censured and fined $30,000 for failing to report to the TRACE

March 19, 2020/ Jon Furgison
Investor Alert: KGS-Alpha Capital Markets was censured and fined $30,000 for failing to report to the TRACE

Furgison Law Group is considering potential claims against KGS-Alpha Capital Markets related to alleged misconduct.

Read More
March 19, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
KGS-Alpha Capital Markets
March 19, 2020

Investor Alert: Key Investment Services LLC was censured and fined $425,000 for failing to establish supervisory systems

March 19, 2020/ Jon Furgison
Investor Alert: Key Investment Services LLC was censured and fined $425,000 for failing to establish supervisory systems

Furgison Law Group is considering potential claims against Key Investment Services LLC related to alleged misconduct.

Read More
March 19, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Key Investment Services LLC
March 19, 2020

Investor Alert: PUMA Capital, LLC was censured and fined $15,000 for failing to implement adequate OTC policies

March 19, 2020/ Jon Furgison
Investor Alert: PUMA Capital, LLC was censured and fined $15,000 for failing to implement adequate OTC policies

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

Read More
March 19, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
PUMA Capital LLC
March 19, 2020

Investor Alert: D.A. Davidson & Co. was censured and fined $85,000 for providing inaccurate statements

March 19, 2020/ Jon Furgison
Investor Alert: D.A. Davidson & Co. was censured and fined $85,000 for providing inaccurate statements

Furgison Law Group is considering potential claims against D.A. Davidson & Co. related to alleged misconduct.

Read More
March 19, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
D.A. Davidson & Co.
March 19, 2020

Investor Alert: International Assets Advisory, LLC was censured and fined failing to establish supervisory system

March 19, 2020/ Jon Furgison
Investor Alert:  International Assets Advisory, LLC was censured and fined failing to establish supervisory system

Furgison Law Group is considering potential claims against International Assets Advisory, LLC related to alleged misconduct.

Read More
March 19, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
International Assets Advisory LLC
March 19, 2020

Investor Alert: Aeon Capital Inc. was suspended and fined $45,000 for failing to comply with the Taping Rule

March 19, 2020/ Jon Furgison
Investor Alert: Aeon Capital Inc. was suspended and fined $45,000 for failing to comply with the Taping Rule

Furgison Law Group is considering potential claims against Aeon Capital Inc. and Vincent Michael Bruno, related to alleged misconduct.

Read More
March 19, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Aeon Capital Inc.
March 19, 2020

Investor Alert: Chelsea Morgan Securities, Inc. was censured and fined $15,000 for failing to establish and maintain a supervisory system

March 19, 2020/ Jon Furgison
Investor Alert: Chelsea Morgan Securities, Inc. was censured and fined $15,000 for failing to establish and maintain a supervisory system

Furgison Law Group is considering potential claims against Chelsea Morgan Securities, Inc. dba Chelsea Financial Services and Christopher Vetrano related to alleged misconduct.

Read More
March 19, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Chelsea Morgan Securities, Inc. dba Chelsea Financial Services
March 18, 2020

Investor Alert: Ami Forte was barred by FINRA for churning account of elderly client with dementia for $9Million

March 18, 2020/ Jon Furgison
Investor Alert: Ami Forte was barred by FINRA for churning account of elderly client with dementia for $9Million

Furgison Law Group is considering potential claims against Morgan Stanley, Pinnacle Investments, Ami Forte and Charles Lawrence related to alleged misconduct.

Read More
March 18, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Peter Allan Earp
March 18, 2020

Investor Alert: Charles Lawerence was barred by FINRA for churning account of elderly client with dementia for $9Million

March 18, 2020/ Jon Furgison
Investor Alert: Charles Lawerence was barred by FINRA for churning account of elderly client with dementia for $9Million

Furgison Law Group is considering potential claims against Morgan Stanley, R. F. Lafferty & Co., Ami Forte and Charles Lawrence related to alleged misconduct.

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