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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


April 25, 2020

Investor Alert: Morgan Stanley & Co. LLC was censured and fined $20,000 for permitting unregistered foreign affiliates to trade

April 25, 2020/ Jon Furgison
Investor Alert: Morgan Stanley & Co. LLC was censured and fined $20,000 for permitting unregistered foreign affiliates to trade

Furgison Law Group is considering potential claims against Morgan Stanley & Co. LLC related to its alleged misconduct.

Read More
April 25, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Morgan Stanley & Co. LLC
April 25, 2020

Investor Alert: FIMCO Securities Group, Inc. was censured and fined $5,000 for failure to supervise

April 25, 2020/ Jon Furgison
Investor Alert: FIMCO Securities Group, Inc. was censured and fined $5,000 for failure to supervise

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

Read More
April 25, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
FIMCO Securities Group, Inc.
April 25, 2020

Investor Alert: BNP Paribas Securities Corp. was censured and fined $90,000 for submitting inaccurate information to the OATS

April 25, 2020/ Jon Furgison
Investor Alert: BNP Paribas Securities Corp. was censured and fined $90,000 for submitting inaccurate information to the OATS

Furgison Law Group is considering potential claims against BNP Paribas Securities Corp. related to its alleged misconduct.

Read More
April 25, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
BNP Paribas Securities Corp.
April 25, 2020

Investor Alert: Virtu Americas LLC was censured and fined $250,000 for for OTC trading errors and failure to supervise

April 25, 2020/ Jon Furgison
Investor Alert: Virtu Americas LLC was censured and fined $250,000 for for OTC trading errors and failure to supervise

Furgison Law Group is considering potential claims against Virtu Americas LLC fka KCG Americas LLC related to alleged misconduct.

Read More
April 25, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Virtu Americas LLC fka KCG Americas LLC
March 23, 2020

Investor Alert: Cabot Lodge Securities LLC was named in FINRA Complaint for participating in an IPO of a non-traded REIT

March 23, 2020/ Jon Furgison
Investor Alert: Cabot Lodge Securities LLC was named in FINRA Complaint for participating in an IPO of a non-traded REIT

Furgison Law Group is considering potential claims against Cabot Lodge Securities LLC related to its alleged misconduct.

Read More
March 23, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Cabot Lodge Securities LLC
March 23, 2020

Investor Alert: Kapil Maheshwari was barred for misusing confidential information from his former firm

March 23, 2020/ Jon Furgison
Investor Alert: Kapil Maheshwari was barred for misusing confidential information from his former firm

Furgison Law Group is considering potential claims against CREDIT SUISSE SECURITIES (USA) LLC related to alleged misconduct by Kapil Maheshwari.

Read More
March 23, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Kapil Maheshwari, CREDIT SUISSE SECURITIES (USA) LLC
March 23, 2020

Investor Alert: Jorge A. Reyes was barred for violating Securities Exchange Act of 1934

March 23, 2020/ Jon Furgison
Investor Alert: Jorge A. Reyes was barred for violating Securities Exchange Act of 1934

Furgison Law Group is considering potential claims against CP CAPITAL SECURITIES related to alleged misconduct by Jorge A. Reyes.

Read More
March 23, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Jorge A. Reyes, CP CAPITAL SECURITIES
March 23, 2020

Investor Alert: Thaddeus James North was fined $5,000 for failure to supervise

March 23, 2020/ Jon Furgison
Investor Alert: Thaddeus James North was fined $5,000 for failure to supervise

Furgison Law Group is considering potential claims against KUHNS BROTHERS SECURITIES CORPORATION related to alleged misconduct by Thaddeus James North.

Read More
March 23, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Thaddeus James North, KUHNS BROTHERS SECURITIES CORPORATION
March 23, 2020

Investor Alert: Daniel R. Castoriano was suspended and fined $5,000 for unapproved trading

March 23, 2020/ Jon Furgison
Investor Alert: Daniel R. Castoriano was suspended and fined $5,000 for unapproved trading

Furgison Law Group is considering potential claims against LPL FINANCIAL LLC and CENTURY SECURITIES ASSOCIATES, INC., related to alleged misconduct by Daniel Castoriano.

Read More
March 23, 2020/ Jon Furgison/
March 23, 2020

Investor Alert: John Robert Barrows was suspended and fined $5,000 for failing to timely amend his Form U4

March 23, 2020/ Jon Furgison
Investor Alert: John Robert Barrows was suspended and fined $5,000 for failing to timely amend his Form U4

Furgison Law Group is considering potential claims against NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC related to alleged misconduct by John Robert Barrows.

Read More
March 23, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
John Robert Barrows, NORTHWESTERN MUTUAL INVESTMENT SERVICES LLC
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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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