March 2018 UPDATE–See this for update. Cotter suspended and fined for excessive trading. UPDATE JULY 2016-Customer of former NEXT Financial Group broker Joseph L. Cotter brings complaint alleging $625,000 damages.…
read moreApril 1, 2016- Toms River, New Jersey FINRA records report that NEXT Financial Group stockbroker George W. Cole has been named in a customer complaint alleging that advice given by Cole…
read moreSeptember 2016 UPDATE–Eduardo Diaz was permanently barred from the securities industry by the US Securities and Exchange Commission (SEC) on 9/7/2016, after pleading guilty to one count of mail fraud.…
read moreJanuary 27, 2016 – Houston, Texas NEXT Financial Group, Inc. entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from May 1,…
read moreSeptember 11, 2015 The Investment News reports that NEXT Financial Group, Inc. , a Houston based brokerage firm founded in 1999, is up for sale. NEXT Financial has over 700…
read moreSan Antonio, Texas August 6, 2015 KENS 5 Eyewitness News of San Antonio reports that Jeremy James McGilvrey claimed in an interview last month that he has paid restitution to…
read moreUPDATE JUNE 2017– FINRA Case 15-2763, which was filed against Dirk Rabenold by a customer of NEXT Financial Group customer alleged that Rabenold recommended an unsuitable investment and sought damages of…
read moreMarch 2, 2015 A Criminal Information was filed by the United States of America vs. Joshua Ray Abernathy, of Norfolk Virginia, charging him with mail fraud, unlawful monetary transactions and…
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