Tag Archives: George Craig Merhoff Jr

Investors Sue Cetera Advisors For Stockbroker Misconduct

March 26, 2020  |   Posted by :   |   Breach of Fiduciary Duty, Securities Arbitration Claims, Stockbroker Negligence   |   Comments Off on Investors Sue Cetera Advisors For Stockbroker Misconduct

George Craig Merhoff Jr. of Klamath Falls Oregon a stockbroker associated with Cetera Advisors LLC is the subject of a customer initiated investment related arbitration claim in which the customer requested $43,000.00 in damages based upon allegations of Merhoff’s unsuitable stock trading. FINRA Arbitration No. 20-00551. According to the claim, transactions were negligent and violative […]

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Cetera Stockbroker Barred In Investigation

George Craig Merhoff Jr. of Klamath Falls Oregon a stockbroker formerly employed by Cetera Advisors LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Merhoff failed to cooperate with a FINRA investigation into accusations of (1) Merhoff disseminating consolidated reports to customers and […]

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Regulator Orders Cetera Broker To Pay Civil Penalty

March 07, 2018  |   Posted by :   |   Failure To Supervise, Investment and Regulatory News   |   0 Comments

George Craig Merhoff Jr. of Klamath Falls Oregon is a stockbroker currently associated with Cetera Advisors LLC who has been ordered by the Division of Financial Regulation of the Oregon Department of Consumer and Business Services to pay a thirty-five thousand dollar civil penalty and cease and desist committing violations of Oregon Securities Law based […]

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Cetera Advisors FINRA Securities Arbitration Alleging Fraud

George Craig Merhoff Jr., a stockbroker currently registered with Cetera Advisors LLC, has been named in a customer initiated investment related arbitration claim on July 14, 2016, which is based upon allegations that Merhoff committed violations of securities laws in the State of Oregon, breached his fiduciary and contractual duties to the customer, effected unsuitable […]

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