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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

July 03, 2020

Investor Alert: Patrick M. Coogan was barred for making reckless misrepresentations

July 03, 2020/ Jon Furgison
Investor Alert: Patrick M. Coogan was barred for making reckless misrepresentations

Furgison Law Group is considering potential claims against LPL FINANCIAL LLC related to alleged misconduct by Patrick M. Coogan.

Read More
July 03, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Patrick M. Coogan, LPL FINANCIAL LLC
July 03, 2020

investor Alert: Kestra Investment Services, LLC was censured and fined $125,000 disclosing customer information

July 03, 2020/ Jon Furgison
investor Alert: Kestra Investment Services, LLC was censured and fined $125,000 disclosing customer information

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

Read More
July 03, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Kestra Investment Services LLC
July 03, 2020

Investor Alert: Morgan Stanley & Co. LLC was censured and fined $300,000 for erroneously submitting reports to the OATS™

July 03, 2020/ Jon Furgison
Investor Alert: Morgan Stanley & Co. LLC was censured and fined $300,000 for erroneously submitting reports to the OATS™

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

Read More
July 03, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Morgan Stanley & Co. LLC
July 03, 2020

Investor Alert: Chapin Davis, Inc was censured and fined $35,000 for failing to fully implement its procedures

July 03, 2020/ Jon Furgison
Investor Alert: Chapin Davis, Inc was censured and fined $35,000 for failing to fully implement its procedures

Furgison Law Group is considering potential claims against Chapin Davis, Inc related to its alleged misconduct.

Read More
July 03, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Chapin Davis Inc
July 03, 2020

Investor Alert: Northwestern Mutual Investment Services, LLC censured and fined $350,000 for failing to supervise

July 03, 2020/ Jon Furgison
Investor Alert: Northwestern Mutual Investment Services, LLC censured and fined $350,000 for failing to supervise

Furgison Law Group is considering potential claims against Northwestern Mutual Investment Services, LLC related to its alleged misconduct.

Read More
July 03, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Northwestern Mutual Investment Services LLC
June 17, 2020

Investor Alert: Steven Harris was named in a FINRA complaint for manufacturing faked documents

June 17, 2020/ Jon Furgison
Investor Alert: Steven Harris was named in a FINRA complaint for manufacturing faked documents

Furgison Law Group is considering potential claims against TRANSAMERICA FINANCIAL ADVISORS, INC related to alleged misconduct by Steven Harris.

Read More
June 17, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Steven Harris, TRANSAMERICA FINANCIAL ADVISORS INC
June 17, 2020

Investor Alert: David Ray Oakes was named in a FINRA complaint for structuring cash deposits and withdrawals

June 17, 2020/ Jon Furgison
Investor Alert: David Ray Oakes was named in a FINRA complaint for structuring cash deposits and withdrawals

Furgison Law Group is considering potential claims against PROSPERA FINANCIAL SERVICES, INC related to alleged misconduct by David Ray Oakes.

Read More
June 17, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
David Ray Oakes, PROSPERA FINANCIAL SERVICES INC
June 17, 2020

Investor Alert: Raymond Alexander Thomas was named in a FINRA complaint for unapproved outside business activities

June 17, 2020/ Jon Furgison
Investor Alert: Raymond Alexander Thomas was named in a FINRA complaint for unapproved outside business activities

Furgison Law Group is considering potential claims against Pluris NETWORK 1 FINANCIAL SECURITIES INC related to alleged misconduct by Raymond Alexander Thomas.

Read More
June 17, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Raymond Alexander Thomas, NETWORK 1 FINANCIAL SECURITIES INC
June 17, 2020

Investor Alert: Mark Thomas Lamkin was fined $7,500 and suspended for borrowing $1,265,000 from a customer

June 17, 2020/ Jon Furgison
Investor Alert: Mark Thomas Lamkin was fined $7,500 and suspended for borrowing $1,265,000 from a customer

Furgison Law Group is considering potential claims against CALTON & ASSOCIATES, INC. related to alleged misconduct by Mark Thomas Lamkin.

Read More
June 17, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
CALTON & ASSOCIATES INC.
June 17, 2020

Investor Alert: William James Hite was fined $7,500 and suspended forging an elderly customer’s signature

June 17, 2020/ Jon Furgison
Investor Alert: William James Hite was fined $7,500 and suspended forging an elderly customer’s signature

Furgison Law Group is considering potential claims against NYLIFE SECURITIES LLC related to alleged misconduct by William James Hite.

Read More
June 17, 2020/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
William James Hite, NYLIFE SECURITIES 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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