The Investigation of Klamath Falls Financial Advisor George Merhoff Jr. and Cetera Investments, Pacific West Securities, Inc. Continues Customer Concerns Grow About Energy Stock Concentration and George Merhoff Our office continues to investigate Cetera Investments and its representative George Merhoff Jr. Since our last reporting, even more investors have called us to report that they…
Continue reading ›Effective December 12, 2015, certain information provided on the registration termination paperwork (Form U5) for a brokerage firm or terminated broker will be accessible on BrokerCheck in 3 business days instead of 15. The SEC approved the proposed change to FINRA Rule 8312 (FINRA BrokerCheck Disclosure). The Form U5 includes important information for investors researching…
Continue reading ›Oregonian Article Alerts Investors to the Dangers of High Return Investments The Chief of Enforcement at the Division of Finance and Corporate Securities Consumer & Business Services Department (DFCS), Van Pounds, was both quoted in Molly Young’s recent Oregonian article about high return investments and Salem investment adviser Kevin Winder. Winder lost his license for…
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