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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:John Wade Loofbourrow was fined $7,500 and suspended for supervising disclosed outside business activities

November 10, 2023/ Jon Furgison
Investor Alert:John Wade Loofbourrow was  fined $7,500 and suspended  for supervising disclosed outside business activities

Furgison Law Group is considering potential claims against DEMOPOLIS CAPITAL INC. related to alleged misconduct by John Wade Loofbourrow.

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November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
John Wade Loofbourrow, DEMOPOLIS CAPITAL INC
November 10, 2023

Investor Alert: James Joseph Van Ham was fined $5,000 and suspended for circumventing his member firm’s supervisory procedures

November 10, 2023/ Jon Furgison
Investor Alert: James Joseph Van Ham was fined $5,000 and suspended  for circumventing his member firm’s supervisory procedures

Furgison Law Group is considering potential claims against THE O.N. EQUITY SALES COMPANY related to alleged misconduct by James Joseph Van Ham.

Read More
November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
James Joseph Van Ham, THE O.N. EQUITY SALES COMPANY
November 10, 2023

Investor Alert: Albert Dishner was fined $5,000 and suspended for exercising discretionary power in a customer’s brokerage accounts

November 10, 2023/ Jon Furgison
Investor Alert: Albert Dishner was fined $5,000 and suspended for exercising discretionary power in a customer’s brokerage accounts

Furgison Law Group is considering potential claims against MORGAN STANLEY related to alleged misconduct by Albert Dishner.

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November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Albert Dishner, MORGAN STANLEY
November 10, 2023

Investor Alert: Christopher Richard Wurtzinger was suspended for failing to conduct a reasonable analysis

November 10, 2023/ Jon Furgison
Investor Alert: Christopher Richard Wurtzinger was suspended  for failing to conduct a reasonable analysis

Furgison Law Group is considering potential claims against AMERICAN TRUST INVESTMENT SERVICES, INC related to alleged misconduct by Christopher Richard Wurtzinger.

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November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Christopher Richard Wurtzinger, AMERICAN TRUST INVESTMENT SERVICES INC
November 10, 2023

Investor Alert: Frank Venturelli was suspended for engaging in quantitatively unsuitable trading

November 10, 2023/ Jon Furgison
Investor Alert: Frank Venturelli was suspended for engaging in quantitatively unsuitable trading

Furgison Law Group is considering potential claims against ARIVE CAPITAL MARKETS related to alleged misconduct by Frank Venturelli.

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November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Frank Venturelli, ARIVE CAPITAL MARKETS
November 10, 2023

Investor Alert: Michael Nicholas Catoggio was fined $5,000 and suspended for failing to establish and implement an AML compliance program

November 10, 2023/ Jon Furgison
Investor Alert: Michael Nicholas Catoggio was fined $5,000 and suspended  for failing to establish and implement an AML compliance program

Furgison Law Group is considering potential claims against FIRST STANDARD FINANCIAL COMPANY LLC related to alleged misconduct by Michael Nicholas Catoggio.

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November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Michael Nicholas Catoggio, FIRST STANDARD FINANCIAL COMPANY LLC
November 10, 2023

Investor Alert: Benard Wayne Gann was fine of $5,000 and suspended or placing an unauthorized trade in a customer’s account

November 10, 2023/ Jon Furgison
Investor Alert: Benard Wayne Gann was fine of $5,000 and suspended or placing an unauthorized trade in a customer’s account

Furgison Law Group is considering potential claims against LPL FINANCIAL LLC related to alleged misconduct by Benard Wayne Gann.

Read More
November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Benard Wayne Gann, LPL FINANCIAL LLC
November 10, 2023

Investor Alert: Micah Wesley Patterson was fined $5,000 and suspended for engaging in an undisclosed and unapproved private securities transaction

November 10, 2023/ Jon Furgison
Investor Alert: Micah Wesley Patterson was  fined $5,000 and suspended for engaging in an undisclosed and unapproved private securities transaction

Furgison Law Group is considering potential claims against HORNOR, TOWNSEND & KENT, LLC related to alleged misconduct by Micah Wesley Patterson.

Read More
November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Micah Wesley Patterson, HORNOR TOWNSEND & KENT LLC
November 10, 2023

Investor Alert: Eric Lowell Small was fined $5,000 and suspended for failing to timely amend his Form U4 to disclose a bankruptcy

November 10, 2023/ Jon Furgison
Investor Alert:  Eric Lowell Small was fined $5,000 and suspended for failing to timely amend his Form U4 to disclose a bankruptcy

Furgison Law Group is considering potential claims against MELVIN SECURITIES, L.L.C. related to alleged misconduct by Eric Lowell Small.

Read More
November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Eric Lowell Small, MELVIN SECURITIES L.L.C.
November 10, 2023

Investor Alert: Ryan Matthew Davis was fined $15,000 and suspended for engaging in outside business activities without providing written notice

November 10, 2023/ Jon Furgison
Investor Alert:  Ryan Matthew Davis was fined $15,000 and suspended for engaging in outside business activities without providing written notice

Furgison Law Group is considering potential claims against WELLS FARGO CLEARING SERVICES, LLC related to alleged misconduct by Ryan Matthew Davis.

Read More
November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Ryan Matthew Davis, WELLS FARGO CLEARING 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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