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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: Electronic Transaction Clearing, Inc. was censured and fined $450,000 for failing to satisfy its customer protection requirements

November 10, 2023/ Jon Furgison
Investor Alert: Electronic Transaction Clearing, Inc. was censured and fined $450,000 for failing to satisfy its customer protection requirements

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

Read More
November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Electronic Transaction Clearing Inc
November 10, 2023

Investor Alert: WestPark Capital, Inc. was censured and fined $30,000 for reporting ROEs with inaccurate reporting exception codes

November 10, 2023/ Jon Furgison
Investor Alert: WestPark Capital, Inc. was censured and fined $30,000 for reporting ROEs with inaccurate reporting exception codes

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

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

Investor Alert: Dee Dee Brooks was barred for engaging in private securities transactions without providing prior notice

November 10, 2023/ Jon Furgison
Investor Alert: Dee Dee Brooks was barred for engaging in private securities transactions without providing prior notice

Furgison Law Group is considering potential claims against SIGNATOR INVESTORS, INC. related to alleged misconduct by Dee Dee Brooks.

Read More
November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Dee Dee Brooks, SIGNATOR INVESTORS INC.
November 10, 2023

Investor Alert: Donald George Padilla was fined $10,000 and suspended for setting up and used unapproved email accounts to correspond

November 10, 2023/ Jon Furgison
Investor Alert: Donald George Padilla was fined $10,000 and suspended for setting up and used unapproved email accounts to correspond

Furgison Law Group is considering potential claims against NATIONAL SECURITIES CORPORATION related to alleged misconduct by Donald George Padilla.

Read More
November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Donald George Padilla, NATIONAL SECURITIES CORPORATION
November 10, 2023

Investor Alert: Barry John Hartwyk was fined $5,000 and suspended for exercising discretion in customer accounts without written authorization

November 10, 2023/ Jon Furgison
Investor Alert: Barry John Hartwyk was fined $5,000 and suspended for exercising discretion in customer accounts without written authorization

Furgison Law Group is considering potential claims against RBC CAPITAL MARKETS, LLC related to alleged misconduct by Barry John Hartwyk.

Read More
November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Barry John Hartwyk, RBC CAPITAL MARKETS LLC
November 10, 2023

Investor Alert: Newport Coast Securities, Inc. was expelled and fined $403,000 for exercising de facto control over the customer accounts

November 10, 2023/ Jon Furgison
Investor Alert: Newport Coast Securities, Inc. was expelled and fined $403,000 for exercising de facto control over the customer accounts

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

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

Investor Alert: Mizuho Securities USA LLC was censured and fined $150,000 for overstating its trading volume in numerous securities

November 10, 2023/ Jon Furgison
Investor Alert: Mizuho Securities USA LLC was censured and fined $150,000 for overstating its trading volume in numerous securities

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

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

Investor Alert: Cantor Fitzgerald & Co. was censured and fined $85,000 for failing to immediately execute limit orders in OTC

November 10, 2023/ Jon Furgison
Investor Alert: Cantor Fitzgerald & Co. was censured and fined $85,000 for failing to immediately execute limit orders in OTC

Furgison Law Group is considering potential claims against Cantor Fitzgerald & Co. related to its alleged misconduct.

Read More
November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Cantor Fitzgerald & Co.
November 10, 2023

Investor Alert: TPEG Securities, LLC was censured and fined $25,000 for engaging in private placement offerings

November 10, 2023/ Jon Furgison
Investor Alert: TPEG Securities, LLC was censured and fined $25,000 for engaging in private placement offerings

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

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

Investor Alert: SagePoint Financial, Inc. was censured and fined $300,000 for failing to establish and maintain a supervisory system

November 10, 2023/ Jon Furgison
Investor Alert: SagePoint Financial, Inc. was censured and fined $300,000 for failing to establish and maintain a supervisory system

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

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