Stock Fraud Lawyer | Securities Arbitration Attorneys| Furgison Law Group
  • Firm Profile
  • Practice Areas
  • Videos
  • Investigations
  • FAQ
  • Contact Us
Stock Fraud Lawyer | Securities Arbitration Attorneys| Furgison Law Group
  • Firm Profile/
  • Practice Areas/
  • Videos/
  • Investigations/
  • FAQ/
  • Contact Us/
Blog laptop.jpg
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!

Blog

News and Investor Alerts on investment scams, financial adviser fraud and other stockbroker misconduct.

Stock Fraud Lawyer | Securities Arbitration Attorneys| Furgison Law Group
  • Firm Profile/
  • Practice Areas/
  • Videos/
  • Investigations/
  • FAQ/
  • Contact Us/
 

News and Investor Alerts on investment scams, financial adviser fraud and other stockbroker misconduct


January 15, 2016

FINRA Orders an Additional Five Firms to Pay $18 Million in Restitution to Charities and Retirement Accounts Overcharged for Mutual Funds

January 15, 2016/ Jon Furgison
FINRA Orders an Additional Five Firms to Pay $18 Million in Restitution to Charities and Retirement Accounts Overcharged for Mutual Funds

FINRA order Edward Jones, Stifel Nicolaus, Janney Montgomery, AXA and Stephens to pay $18 million in restitution for overcharging customers and failing to adequately supervise the sale of mutual funds that offered sales charge waivers. 

Read More
January 15, 2016/ Jon Furgison/ /Source
FINRA News Release, FINRA Disciplinary Action
Edward D. Jones & Co., Stifel Nicolaus & Company, Janney Montgomery Scott, AXA Advisors, Stephens Inc., Fraudulent Activities, Restitution, bad broker, Broker, Breach of fiduciary duty, unsuitability, FINRA, Fines, failure to supervise, Supervisory Systems and Procedures, Inadequate Supervision, Supervisory Systems, Senior Investors, Charities, retirement accounts
  • Firm Profile/
  • Practice Areas/
  • Videos/
  • Investigations/
  • FAQ/
  • Contact Us/

Stock Fraud Lawyer | Securities Arbitration Attorneys| Furgison Law Group

(310) 356-6890

Get Free Case Evaluation Now!

Name *
Phone *
Thank you!

Furgison Law Group, PC     (310) 356-6890 
445 31st Street, Hermosa Beach, CA 90254
26901 Agoura Rd, Suite 180, Agoura Hills, CA 91301

The information on this website is for general information purposes only. Nothing on this site should be taken as legal advice for any individual case or situation. This information is not intended to create, and receipt or viewing does not constitute an attorney-client relationship. Attorney Advertisement.  Read Full Disclaimer >

©  2005-2025 Furgison Law Group, PC. All Rights Reserved.