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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: Dennis James Murphy was barred for refusing to provide on-the-record testimony requested by FINRA

November 10, 2023/ Jon Furgison
Investor Alert: Dennis James Murphy was barred for refusing to provide on-the-record testimony requested by FINRA

Furgison Law Group is considering potential claims against MONMOUTH CAPITAL MANAGEMENT LLC related to alleged misconduct by Dennis James Murphy.

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November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Dennis James Murphy, MONMOUTH CAPITAL MANAGEMENT LLC
November 10, 2023

Investor Alert: Leonard Charles Kinsman was barred for refusing to appear for on-the-record testimony requested by FINRA

November 10, 2023/ Jon Furgison
Investor Alert: Leonard Charles Kinsman was barred for refusing to appear for on-the-record testimony requested by FINRA

Furgison Law Group is considering potential claims against WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC related to alleged misconduct by Leonard Charles Kinsman.

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November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Leonard Charles Kinsman, WELLS FARGO ADVISORS FINANCIAL NETWORK LLC
November 10, 2023

Investor Alert: Martin Joseph Noonan Jr. was barred for refusing to produce information or documents requested by FINRA

November 10, 2023/ Jon Furgison
Investor Alert: Martin Joseph Noonan Jr. was barred for refusing to produce information or documents requested by FINRA

Furgison Law Group is considering potential claims against BMA SECURITIES, LLC related to alleged misconduct by Martin Joseph Noonan Jr..

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November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Martin Joseph Noonan Jr., BMA SECURITIES LLC
November 10, 2023

Investor Alert: John Grifonetti was barred, suspended and fined $75,000 for failing to establish and maintain a reasonably designed supervisory system

November 10, 2023/ Jon Furgison
Investor Alert: John Grifonetti was barred, suspended and  fined $75,000 for failing to establish and maintain a reasonably designed supervisory system

Furgison Law Group is considering potential claims against BARDOWN CAPITAL LLC related to alleged misconduct by John Grifonetti.

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November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
John Grifonetti, BARDOWN CAPITAL LLC
November 10, 2023

Investor Alert: Douglas Arthur Sanzone was barred for failing to establish and maintain a reasonably designed supervisory system

November 10, 2023/ Jon Furgison
Investor Alert: Douglas Arthur Sanzone was barred for failing to establish and maintain a reasonably designed supervisory system

Furgison Law Group is considering potential claims against BARDOWN CAPITAL LLC related to alleged misconduct by Douglas Arthur Sanzone.

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November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Douglas Arthur Sanzone, BARDOWN CAPITAL LLC
November 10, 2023

Investor Alert: Brian Joseph Harte was suspended for exercising discretion in customer accounts

November 10, 2023/ Jon Furgison
Investor Alert: Brian Joseph Harte was suspended for exercising discretion in customer accounts

Furgison Law Group is considering potential claims against E1 ASSET MANAGEMENT, INC. related to alleged misconduct by Brian Joseph Harte.

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November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Brian Joseph Harte, E1 ASSET MANAGEMENT INC.
November 10, 2023

Investor Alert: Michael B. Mountjoy was suspended for participating in private securities transactions

November 10, 2023/ Jon Furgison
Investor Alert: Michael B. Mountjoy was suspended for participating in private securities transactions

Furgison Law Group is considering potential claims against LPL FINANCIAL LLC related to alleged misconduct by Michael B. Mountjoy.

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November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Michael B. Mountjoy, LPL FINANCIAL LLC
November 10, 2023

Investor Alert: James Anthony Parrelly was suspended and fined $5,000 for executing discretionary transactions in the securities account of a customer

November 10, 2023/ Jon Furgison
Investor Alert: James Anthony Parrelly was suspended and fined $5,000 for executing discretionary transactions in the securities account of a customer

Furgison Law Group is considering potential claims against INVESTMENT PLANNERS, INC. related to alleged misconduct by James Anthony Parrelly.

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November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
James Anthony Parrelly, INVESTMENT PLANNERS, INC.
November 10, 2023

Investor Alert: Spencer William Sullivant was suspended and fined $5,000 for he did study materials for the exam in his testing center’s restroom

November 10, 2023/ Jon Furgison
Investor Alert: Spencer William Sullivant  was suspended and fined $5,000 for he did study materials for the exam in his testing center’s restroom

Furgison Law Group is considering potential claims against EDWARD JONES related to alleged misconduct by Spencer William Sullivant.

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November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Spencer William Sullivant, EDWARD JONES
November 10, 2023

Investor Alert: Donald Stephen Woods was suspended and fined $10,000 for submitting applications to purchase real estate investment trusts

November 10, 2023/ Jon Furgison
Investor Alert: Donald Stephen Woods was suspended and  fined $10,000 for submitting applications to purchase real estate investment trusts

Furgison Law Group is considering potential claims against THURSTON SPRINGER FINANCIAL related to alleged misconduct by Donald Stephen Woods.

Read More
November 10, 2023/ Jon Furgison/
Special Investigaiton, FINRA Disciplinary Action
Donald Stephen Woods, THURSTON SPRINGER FINANCIAL
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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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