Articles Posted in Financial

Investor Alert – Cryptocurrency Stock Scams
Samuels Yoelin Kantor LLP

FINRA recently released an Investor Alert on cryptocurrency scams. Investors should be wary of jumping into this “hot,” volatile sector, and do their research before handing over their money to a potential fraudster, or for a risky investment that they don’t understand. In the last quarter, cryptocurrencies such as Bitcoin and Ripple have received a…

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Raymond James Fined $2 Million by FINRA for Supervisory Failures
Samuels Yoelin Kantor LLP

On December 21, 2017, the Financial Industry Regulatory Authority (FINRA) announced it had fined brokerage firm Raymond James Financial Services, Inc. $2 million for significant supervisory failures in reviewing email communications. FINRA found that, over a nine-year period, Raymond James did not have a reasonably designed supervisory system and procedures for reviewing email communications. Why…

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George Merhoff and Energy Stocks – The Investigation Continues
Samuels Yoelin Kantor LLP

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…

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Before Hiring a Financial Professional – Ask These Questions
Samuels Yoelin Kantor LLP

It’s a new year and you’re looking to hire a broker or investment advisor to help you with your financial planning and investment decisions. What questions should you ask at that first meeting? FINRA recently released an Investor Education top 5 questions to ask: 1. What experience do you have working with people like me?…

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LPL Financial In Trouble Again For Improper Sales of Non-Traded REITs
Samuels Yoelin Kantor LLP

The North American Securities Administrators Association (NASAA) announced Wednesday a settlement with brokerage firm LPL Financial. The settlement is the result of a multi-state investigation led by the Nevada Secretary of State Securities Division into LPL’s failure to implement adequate supervisory systems and failure to enforce its own written procedures regarding sales of non-traded REIT…

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