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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


November 10, 2023

Investor Alert: Gregory Alan Ricker was fined $5,000, suspended for participating in private securities transactions by referring a potential investor

November 10, 2023/ Jon Furgison
Investor Alert: Gregory Alan Ricker was fined $5,000, suspended for participating in private securities transactions by referring a potential investor

Furgison Law Group is considering potential claims against WESTPARK CAPITAL, INC. related to alleged misconduct by Gregory Alan Ricker.

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November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Gregory Alan Ricker, WESTPARK CAPITAL INC.
November 10, 2023

Investor Alert: Henry Arthur Taylor III was fined $7,500 and suspended for participating in a $30,000 private securities transaction

November 10, 2023/ Jon Furgison
Investor Alert: Henry Arthur Taylor III was  fined $7,500 and suspended for participating in a $30,000 private securities transaction

Furgison Law Group is considering potential claims against INTERNATIONAL ASSETS ADVISORY, LLC related to alleged misconduct by Henry Arthur Taylor III.

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November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Henry Arthur Taylor III, INTERNATIONAL ASSETS ADVISORY LLC
November 10, 2023

Investor Alert: Katie Ann Hudson was fined $5,000 and suspended for failing to timely amend her Form U4

November 10, 2023/ Jon Furgison
Investor Alert: Katie Ann Hudson was  fined $5,000 and suspended for failing to timely amend her Form U4

Furgison Law Group is considering potential claims against MML INVESTORS SERVICES, LLC related to alleged misconduct by Katie Ann Hudson.

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November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Katie Ann Hudson, MML INVESTORS SERVICES LLC
November 10, 2023

Investor Alert: William Joseph Kielczewski was fined $50,000 and suspended participating in private securities transactions without providing prior written notice

November 10, 2023/ Jon Furgison
Investor Alert: William Joseph Kielczewski was fined $50,000 and suspended participating in private securities transactions without providing prior written notice

Furgison Law Group is considering potential claims against THE HUNTINGTON INVESTMENT COMPANY related to alleged misconduct by William Joseph Kielczewski.

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November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
William Joseph Kielczewski, THE HUNTINGTON INVESTMENT COMPANY
November 10, 2023

Investor Alert: Adam James Makkai was named in a complaint for negotiating the purchase of the unregistered person’s book

November 10, 2023/ Jon Furgison
Investor Alert: Adam James Makkai was named in a complaint for negotiating the purchase of the unregistered person’s book

Furgison Law Group is considering potential claims against LPL FINANCIAL LLC related to alleged misconduct by Adam James Makkai.

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November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Adam James Makkai, LPL FINANCIAL LLC
November 10, 2023

Investor Alert: Julian Jay Piekarczyk was named in a complaint for engaging in an unethical course of conduct

November 10, 2023/ Jon Furgison
Investor Alert: Julian Jay Piekarczyk was named in a complaint for engaging in an unethical course of conduct

Furgison Law Group is considering potential claims against PRUCO SECURITIES, LLC. related to alleged misconduct by Julian Jay Piekarczyk.

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November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Julian Jay Piekarczyk, PRUCO SECURITIES LLC.
November 10, 2023

Investor Alert: Christopher Peter Tranchina was named in a complaint for committing conversion by taking files with the intent to deprive his former member

November 10, 2023/ Jon Furgison
Investor Alert: Christopher Peter Tranchina was named in a complaint for committing conversion by taking files with the intent to deprive his former member

Furgison Law Group is considering potential claims against CHELSEA FINANCIAL SERVICES related to alleged misconduct by Christopher Peter Tranchina.

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November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Christopher Peter Tranchina, CHELSEA FINANCIAL SERVICES
September 28, 2022

Investor Alert: FLG is investigating claims of unsuitable investments sold by Robert Newman

September 28, 2022/ Jon Furgison
Investor Alert: FLG is investigating claims of unsuitable investments sold by Robert Newman

Furgison Law Group is considering potential claims against Morgan Stanley, related to alleged misconduct by Robert Newman

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September 28, 2022/ Jon Furgison/
Special Investigaiton
Robert Newman, Morgan Stanley
April 30, 2021

Investor Alert: Trevor Rahn was fined $10,000 and suspended for improper trading

April 30, 2021/ Jon Furgison
Investor Alert: Trevor Rahn was fined $10,000 and suspended for improper trading

Furgison Law Group is considering potential claims against J.P. Morgan Securities related to alleged misconduct by Trevor Rahn.

Read More
April 30, 2021/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
William Joseph Kielczewski, THE HUNTINGTON INVESTMENT COMPANY
March 05, 2021

Investor Alert: SEC filed charges against senior GPB executives for Ponzi Scheme fraud

March 05, 2021/ Jon Furgison
Investor Alert: SEC filed charges against senior GPB executives for Ponzi Scheme fraud

Do you want to recover your investment losses from GBP? The securities fraud lawyers at Furgison Law Group are currently filing claims against financial advisors that sold the GPB funds. Call today for your free case evaluation.

Read More
March 05, 2021/ Jon Furgison/
Special Investigaiton
Investor Alert, GPB Capital Holdings
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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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