Investor Alert: FIMCO Securities Group, Inc. was censured and fined $5,000 for failure to supervise
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Furgison Law Group is considering potential claims against FIMCO Securities Group, Inc related to alleged misconduct.
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News and Investor Alerts on investment scams, financial adviser fraud and other stockbroker misconduct
Investor Alert: BNP Paribas Securities Corp. was censured and fined $90,000 for submitting inaccurate information to the OATS
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Furgison Law Group is considering potential claims against BNP Paribas Securities Corp. related to its alleged misconduct.
Read MoreInvestor Alert: Virtu Americas LLC was censured and fined $250,000 for for OTC trading errors and failure to supervise
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Furgison Law Group is considering potential claims against Virtu Americas LLC fka KCG Americas LLC related to alleged misconduct.
Read MoreInvestor Alert: Cabot Lodge Securities LLC was named in FINRA Complaint for participating in an IPO of a non-traded REIT
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Furgison Law Group is considering potential claims against Cabot Lodge Securities LLC related to its alleged misconduct.
Read MoreInvestor Alert: Kapil Maheshwari was barred for misusing confidential information from his former firm
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Furgison Law Group is considering potential claims against CREDIT SUISSE SECURITIES (USA) LLC related to alleged misconduct by Kapil Maheshwari.
Read MoreInvestor Alert: Jorge A. Reyes was barred for violating Securities Exchange Act of 1934
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Furgison Law Group is considering potential claims against CP CAPITAL SECURITIES related to alleged misconduct by Jorge A. Reyes.
Read MoreInvestor Alert: Thaddeus James North was fined $5,000 for failure to supervise
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Furgison Law Group is considering potential claims against KUHNS BROTHERS SECURITIES CORPORATION related to alleged misconduct by Thaddeus James North.
Read MoreInvestor Alert: Daniel R. Castoriano was suspended and fined $5,000 for unapproved trading
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Furgison Law Group is considering potential claims against LPL FINANCIAL LLC and CENTURY SECURITIES ASSOCIATES, INC., related to alleged misconduct by Daniel Castoriano.
Read MoreInvestor Alert: John Robert Barrows was suspended and fined $5,000 for failing to timely amend his Form U4
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Furgison Law Group is considering potential claims against NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC related to alleged misconduct by John Robert Barrows.
Read MoreInvestor Alert: Keith Trevor Rich was suspended and fined $5,000 for engaging in an outside business activity
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Furgison Law Group is considering potential claims against J.P. MORGAN SECURITIES LLC, EDWARD JONES, CAMBRIDGE INVESTMENT RESEARCH, INC., and PFS INVESTMENTS INC., related to alleged misconduct by Keith Trevor Rich.
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