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next financial group lawsuit

NEXT Financial Group Fined by State and Federal Regulators-Houston, Texas
NEXT Financial Group Fined by State and Federal Regulators-Houston, Texas 150 150 Rex Securities Law

NEXT Financial Group Investigation September 2021-Houston, TX Houston-based NEXT  Financial Group discloses 26 prior regulatory events, according to FINRA records. These regulatory sanctions include: July 2021-FINRA censured NEXT and assessed a…

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Joseph L. Cotter-Former NEXT Financial Group Broker-Discloses Fine/Suspension/Termination-Charlotte, N.Carolina
Joseph L. Cotter-Former NEXT Financial Group Broker-Discloses Fine/Suspension/Termination-Charlotte, N.Carolina 150 150 Rex Securities Law

March 2018- Charlotte, N. Carolina The FINRA records of  Joseph L. Cotter  ,  a  stockbroker who is currently not registered and who was last employed by  Petersen Investments disclose a recent regulatory matter resulting…

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Tye Williams-Former NEXT Financial Broker-Subject of $1M Customer Dispute-Frisco, TX
Tye Williams-Former NEXT Financial Broker-Subject of $1M Customer Dispute-Frisco, TX 150 150 Rex Securities Law

UPDATE OCTOBER 2017– Frisco, TX Former NEXT Financial Group stockbroker, Tye Williams was barred from the securities industry by FINRA for failing to cooperate with regulatory investigation alleging theft of $1M, making…

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Tye C. Williams-Former NEXT Financial Group Broker-Named in $1M Customer Dispute-Frisco, TX
Tye C. Williams-Former NEXT Financial Group Broker-Named in $1M Customer Dispute-Frisco, TX 150 150 Rex Securities Law

September 2017 – Frisco, Texas According to publicly available records  Tye C. Williams (CRD#1271046) , a former stockbroker  who was most recently employed by NEXT Financial Group , disclose  a regulatory event that resulted in…

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Nghi Thanh Ho -IMS Securities Broker-Discloses Customer Dispute- Houston, TX
Nghi Thanh Ho -IMS Securities Broker-Discloses Customer Dispute- Houston, TX 150 150 Rex Securities Law

April 2017 – Houston, TX According to publicly available records Nghi Thanh Ho,  (CRD#2327672) ,  a  stockbroker who is currently registered with IMS Securities  discloses one pending customer dispute and a separation from employment.  The Financial Industry…

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Dion Padilla Investigation-Former NEXT Financial Group Broker-Settles Several Customer Suits Involving Annuities-San Antonio, TX
Dion Padilla Investigation-Former NEXT Financial Group Broker-Settles Several Customer Suits Involving Annuities-San Antonio, TX 150 150 Rex Securities Law

May 2019 -San Antonio, Texas According to publicly available records Dion Rey Padilla ,  a  stockbroker who formerly worked for NEXT Financial ,  disclose a prior regulatory suspension and five…

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Tye Williams-Former NEXT Financial Broker- Barred From Securities Industry-Frisco, TX
Tye Williams-Former NEXT Financial Broker- Barred From Securities Industry-Frisco, TX 150 150 Rex Securities Law

September 2016-Frisco, Texas Tye Williams, a stockbroker who formerly worked for NEXT Financial Group was barred by the Financial Industry Regulatory Authority (FINRA) from acting as a broker or otherwise…

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NEXT Financial Group FIned $125K on Sales of UITs (Unit Investment Trusts)
NEXT Financial Group FIned $125K on Sales of UITs (Unit Investment Trusts) 150 150 Rex Securities Law

January 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,…

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NEXT Financial Group May Be Sold According to Investment News
NEXT Financial Group May Be Sold According to Investment News 150 150 Rex Securities Law

September 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…

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