Rex Securities Law
October 15, 2017
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Dion R. Padilla Annuity Investigation-Former NEXT Financial Group Broker-San Antonio, TX

Dion R. Padilla Annuity Investigation-Former NEXT Financial Group Broker-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 October 15, 2017 May 18, 2019

May 2019 UPDATE- Dion Padilla/ AT&T Retirement Account investigation. See this for details. Original Post-JUNE 2018 -San Antonio, Texas We continue our investigation of former NEXT Financial Group broker…

Rex Securities Law
April 1, 2016
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Charles Kulch Investigation-NEXT FInancial/Investors Capital Broker-Nashua, NH

Charles Kulch Investigation-NEXT FInancial/Investors Capital Broker-Nashua, NH 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 1, 2016 April 1, 2016

April 1, 2016- Nashua, New Hampshire FINRA records report that NEXT Financial Group stockbroker Charles Kulch , of Nashua ,New Hampshire, lists two customer disputes: FINRA Case 15-0762-the customer alleges that NEXT Financial Group…

Rex Securities Law
June 19, 2015
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Shaun Paul Golden-Former NEXT Financial Group Broker Sanctioned by Regulators

Shaun Paul Golden-Former NEXT Financial Group Broker Sanctioned by Regulators 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 June 19, 2015 April 23, 2018

UPDATE FEBRUARY 2017-RIverhead, New York In February 2017 the Florida Office of Financial Regulation entered a Final Order against Shaun Paul Golden permanently barring him from applying for registration. Case#…

Rex Securities Law
December 16, 2014
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NEXT Financial Fined $265,000 by Securities Regulators

NEXT Financial Fined $265,000 by Securities Regulators 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 16, 2014 November 1, 2016

December 16, 2014 NEXT Financial Group entered into a Letter of Acceptance, Waiver and Consent with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between July 1, 2010 and…

Rex Securities Law
December 8, 2014
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NEXT Financial CEO Gordon D’Angelo Resigns

NEXT Financial CEO Gordon D’Angelo Resigns 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 8, 2014 January 19, 2015

December 5, 2014 The Investment News reports that Gordon D’Angelo, CEO of NEXT Financial Holdings, Inc. , parent company of independent broker-dealer NEXT Financial Group has resigned. NEXT Financial started…

Rex Securities Law
September 3, 2014
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Former NEXT Financial Broker Heidi Wivolin Barred from Brokerage Industry

Former NEXT Financial Broker Heidi Wivolin Barred from Brokerage Industry 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 September 3, 2014 February 21, 2018

FEBRUARY 2018 UPDATE–Heidi Wivolin pleads guilty to mail and tax fraud. Sentencing set for May 2, 2018. See this for details. Heidi Wivolin, formerly a broker with NEXT Financial Group…

Rex Securities Law
July 15, 2014
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NEXT Financial and Broker Pay $140,000 Settlement to New Hampshire Securities Regulators

NEXT Financial and Broker Pay $140,000 Settlement to New Hampshire Securities Regulators 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 15, 2014 April 1, 2016

May 12, 2014) – The New Hampshire Bureau of SecuritiesRegulation has finalized a Consent Order with NEXT Financial Group, Inc. and Charles C. Kulch, a broker for NEXT Financial in…

Rex Securities Law
June 11, 2014
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New Hampshire Securities Regulators Fine NEXT Financial $140,000

New Hampshire Securities Regulators Fine NEXT Financial $140,000 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 June 11, 2014 January 19, 2015

In May 2014, the New Hampshire Bureau of Securities Regulation settled a claim with NEXT Financial and Charles C. Kulch, a broker with NEXT from Nashua, New Hampshire in…

Rex Securities Law
March 13, 2014
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Wivolin / NEXT Financial / 1st Discount Brokerage Investigation Continues

Wivolin / NEXT Financial / 1st Discount Brokerage Investigation Continues 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 13, 2014 February 21, 2018

By Robert H. Rex, Esq. FEBRUARY 2018 UPDATE–Heidi Wivolin pleads guilty to mail and tax fraud. Sentencing set for May 2, 2018. See this for details. Our investigation into the…

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