Next Financial Group Archives - Page 3 of 5

Rex Securities Law
April 12, 2017
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 12, 2017 April 12, 2017

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…

Rex Securities Law
March 27, 2017
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 27, 2017 May 18, 2019

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…

Rex Securities Law
December 9, 2016
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g December 9, 2016 May 4, 2017

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…

Rex Securities Law
October 25, 2016
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NEXT Financial Group Settles Tenant in Common Case

NEXT Financial Group Settles Tenant in Common Case https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g October 25, 2016 October 25, 2016

October 2016 Next Financial Group, Inc. , a stock brokerage firm headquartered in Houston, Texas, recently settled a claim brought by a customer alleging damages of $4,000,000 for breach of…

Rex Securities Law
August 31, 2016
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Douglas P. Simanski-Former NEXT Financial Group Broker-Discharged for Theft

Douglas P. Simanski-Former NEXT Financial Group Broker-Discharged for Theft https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 31, 2016 May 4, 2017

Altoona, PA UPDATE MAY 2017-The FINRA records of former NEXT Financial Group broker Douglas Simanski currently disclose 13 pending customer disputes and 3 customer disputes that are final. The newly…

Rex Securities Law
August 5, 2016
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William H. Smathers-NEXT Financial Group Broker-Discloses Prior Customer Disputes

William H. Smathers-NEXT Financial Group Broker-Discloses Prior Customer Disputes https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 5, 2016 August 5, 2016

August 2016-The Villages, Florida The FINRA records of William H. Smathers , a stock broker who is currently employed by NEXT Financial Group , disclose 9 prior final customer disputes. The Financial Industry Regulatory Authority (FINRA) is the agency…

Rex Securities Law
July 12, 2016
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Dion R. Padilla-NEXT Financial Group Broker-Sanctioned Over Annuity Sales

Dion R. Padilla-NEXT Financial Group Broker-Sanctioned Over Annuity Sales https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g July 12, 2016 May 18, 2019

May 2019 UPDATE- Dion Padilla/ AT&T Retirement Account investigation. See this for details. ORIGINAL POST-July 2016- San Antonio, Texas The FINRA records of Dion R. Padilla , a stock broker currently employed by NEXT…

Rex Securities Law
July 7, 2016
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Joseph Cotter-Discharged by NEXT Financial for Excessive Trading-Named in Customer Dispute

Joseph Cotter-Discharged by NEXT Financial for Excessive Trading-Named in Customer Dispute https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g July 7, 2016 March 5, 2018

March 2018 UPDATE–See this for update. Cotter suspended and fined for excessive trading. July 2016- Charlotte, North Carolina FINRA records report that a customer of former NEXT Financial Group stockbroker Joseph L. Cotter has alleged…

Rex Securities Law
May 26, 2016
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Dion R. Padilla-NEXT Financial Group Stockbroker-Investigation Update

Dion R. Padilla-NEXT Financial Group Stockbroker-Investigation Update https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 26, 2016 May 18, 2019

May 2019 UPDATE- Dion Padilla/ AT&T Retirement Account investigation. See this for details. Original Post-May 2016 San Antonio, Texas According to FINRA records, Dion R. Padilla , a stock broker who has…