GEORGE CRAIG MERHOFF Barred By FINRA The Financial Industry Regulatory Authority (“FINRA”) confirmed June 14, 2019 that it barred Cetera Advisors LLC securities broker George Craig Merhoff Jr. (CRD#: 2918171, Klamath Falls, Oregon) from the securities industry. Evidently, Merhoff executed Letter of Acceptance, Waiver, and Consent (“AWC”) #:2018057331001 on June 3; FINRA accepted it June […]

JAMES LYONS Cause Your Investment Losses?  Soreide Law Group is reviewing possible claims on behalf of investors who lost money investing with Raymond James & Associates, Inc. (“Raymond James”) securities broker James Lyons (CRD#: 1020397, Shreveport, Louisiana), who FINRA barred on June 4, 2018. Notably, the Financial industry Regulatory Authority (“FINRA”) shows that at least […]

Scott Dee Barker (CRD #4754577, Layton, Utah) was barred by FINRA for allegedly failing to provide FINRA-requested documents and information in connection with an investigation into whether he misused insurance premiums for business and/or office expenses. (FINRA Case #2014041073701) FINRA has permanently barred Scott Dee Barker from acting as a broker or otherwise associating with […]

The following information appeared on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013.” Steven Robert Aron (CRD #4664318, Registered Representative, Agoura Hills, California) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Aron consented to the described sanction and to the entry of findings that […]

The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, March, 2013.” David Appel (CRD #1026798, Registered Representative, Brooklyn, New York) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Appel consented to the described sanction and to the entry of FINRA's findings that […]

The following information is from FINRA’s website under, “Disciplinary and Other FINRA Actions, May, 2012.” Paul Andrew Fischetti (CRD #2300161, Registered Supervisor, Palm Harbor, Florida)   submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000 and suspended from association with any FINRA member in any capacity for six months. The […]