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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: Two Sigma Securities, LLC was censured and fined $225,000 for effecting certain short sale transactions

November 10, 2023/ Jon Furgison
Investor Alert: Two Sigma Securities, LLC was censured and fined $225,000  for effecting certain short sale transactions

Furgison Law Group is considering potential claims against Two Sigma Securities, LLC related to its alleged misconduct.

Read More
November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Two Sigma Securities LLC
November 10, 2023

Investor Alert: D.A. Davidson & Co. was censured and fined $20,000 for failing to report to TRACE®

November 10, 2023/ Jon Furgison
Investor Alert: D.A. Davidson & Co. was  censured and fined $20,000 for failing to report to TRACE®

Furgison Law Group is considering potential claims against D.A. Davidson & Co. related to its alleged misconduct.

Read More
November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
D.A. Davidson & Co.
November 10, 2023

Investor Alert: Fusion Analytics Securities LLC was censured and fined $25,000 for failing to comply with critical books and records

November 10, 2023/ Jon Furgison
Investor Alert:  Fusion Analytics Securities LLC was  censured and fined $25,000 for failing to comply with critical books and records

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

Read More
November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Fusion Analytics Securities LLC
November 10, 2023

Investor Alert: J.P. Morgan Securities LLC was censured and fined $325,000 for failing to establish and maintain a supervisory system

November 10, 2023/ Jon Furgison
Investor Alert: J.P. Morgan Securities LLC was censured and fined $325,000 for failing to establish and maintain a supervisory system

Furgison Law Group is considering potential claims against J.P. Morgan Securities LLC related to its alleged misconduct.

Read More
November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
J.P. Morgan Securities LLC
November 10, 2023

Investor Alert: Exane, Inc. was censured and fined $50,000 for failing to establish a system of risk management controls

November 10, 2023/ Jon Furgison
Investor Alert: Exane, Inc. was censured and fined $50,000 for failing to establish a system of risk management controls

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

Read More
November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Exane Inc.
November 10, 2023

Investor Alert: BNY Mellon Capital Markets, LLC was censured and fined $35,000 for failing to submit accurate minimum denomination

November 10, 2023/ Jon Furgison
Investor Alert: BNY Mellon Capital Markets, LLC was censured and fined $35,000  for failing to submit accurate minimum denomination

Furgison Law Group is considering potential claims against BNY Mellon Capital Markets, LLC related to its alleged misconduct.

Read More
November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
BNY Mellon Capital Markets LLC
November 10, 2023

Investor Alert: Moors & Cabot, Inc. was censured and fined $250,000 for failing to disclose in writing to customers approximately $7.5 million in compensation

November 10, 2023/ Jon Furgison
Investor Alert: Moors & Cabot, Inc. was censured and fined $250,000 for failing to disclose in writing to customers approximately $7.5 million in compensation

Furgison Law Group is considering potential claims against Moors & Cabot, Inc. related to its alleged misconduct.

Read More
November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Moors & Cabot Inc.
November 10, 2023

Investor Alert: Valmark Securities, Inc. was censured and fined $25,000 for relying on journaling rules

November 10, 2023/ Jon Furgison
Investor Alert: Valmark Securities, Inc. was censured and fined $25,000 for relying on journaling rules

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

Read More
November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Valmark Securities Inc.
November 10, 2023

Investor Alert: Marie Bernadette Kincheloe was barred for refusing to produce documents or information requested by FINRA

November 10, 2023/ Jon Furgison
Investor Alert: Marie Bernadette Kincheloe was barred for refusing to produce documents or information requested by FINRA

Furgison Law Group is considering potential claims against ALLSTATE FINANCIAL SERVICES, LLC related to alleged misconduct by Marie Bernadette Kincheloe.

Read More
November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Marie Bernadette Kincheloe, ALLSTATE FINANCIAL SERVICES LLC
November 10, 2023

Investor Alert: Matthew Vincent Muratori was barred for refusing to appear for on-the-record testimony

November 10, 2023/ Jon Furgison
Investor Alert: Matthew Vincent Muratori was barred for  refusing to appear for on-the-record testimony

Furgison Law Group is considering potential claims against PRUCO SECURITIES, LLC. related to alleged misconduct by Matthew Vincent Muratori.

Read More
November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Matthew Vincent Muratori, PRUCO 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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