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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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Cetera Advisors Charged With Defrauding Retail Clients

Cetera Advisors Charged With Defrauding Retail Clients 150 150 Rex Securities Law

September 2019 Cetera Advisors, a registered investment advisor and broker-dealer based in Denver, Colorado, was charged by the Securities and Exchange Commission (SEC) with breaching its fiduciary duty and defrauding…

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Summit Brokerage Services Sanctioned for Churning Accounts-Boca Raton, FL

Summit Brokerage Services Sanctioned for Churning Accounts-Boca Raton, FL 150 150 Rex Securities Law

July 2019-Boca Raton, FL Wealthmangement.com reports that Summit Brokerage Services, an independent broker dealer headquartered in Boca Raton, FL,  will close it doors and roll its business up into an…

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Kestra Investment Services Assessed Regulatory Fine Over Mutual Fund Sales-Austin, TX

Kestra Investment Services Assessed Regulatory Fine Over Mutual Fund Sales-Austin, TX 150 150 Rex Securities Law

February 2019 – Austin, Texas FINRA recently sanctioned Austin-based Kestra Investment Services (formerly NFP Advisor Services) for over charging more than 3,000 who qualified for waiver of front end sales…

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William Blair and Company to Pay $4.5 Million Fine to Regulator

William Blair and Company to Pay $4.5 Million Fine to Regulator 150 150 Rex Securities Law

MAY 2017 According to the U.S. Securities and Exchange Commission, Chicago based brokerage firm William Blair and Company will pay $4.5 million to settle charges that mutual fund assets were…

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Berthel Fisher & Broker Jeffrey Dragon Named in FINRA Complaint for Overcharging Commissons

Berthel Fisher & Broker Jeffrey Dragon Named in FINRA Complaint for Overcharging Commissons 150 150 Rex Securities Law

April 2017-Burlington, MA Berthel Fisher & Company and one of their brokers Jeffrey P. Dragon were named in a FINRA complaint alleging that Dragon generated more than $421,000 in concessions…

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Alejandro Falla-Former Ultralat Capital Markets Broker-Sanctioned by Securities Regulator-Coral Gables, FL

Alejandro Falla-Former Ultralat Capital Markets Broker-Sanctioned by Securities Regulator-Coral Gables, FL 150 150 Rex Securities Law

February 2017-Coral Gables, FL According to publicly available records Alejandro Falla , (CRD# 5064828) ,  a  former stockbroker who was last employed by  BAC Florida Investments,  disclose  a recent regulatory sanction. The Financial Industry Regulatory Authority (FINRA) is…

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