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next financial group litigation

Gary Haack-Former Corecap Investments Broker-Discloses Settlement of Customer Dispute-San Antonio, TX
Gary Haack-Former Corecap Investments Broker-Discloses Settlement of Customer Dispute-San Antonio, TX 150 150 Rex Securities Law

April 2018- San Antonio, Texas According to publicly available records Gary C. Haack  (CRD#2796834) ,  a  stockbroker who is not currently registered with any broker dealer and who was last employed by…

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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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Heidi Wivolin-Former NEXT Financial Group Broker Sentenced to Two Years/ Shawn O’Sullivan Sentenced to 16 Months-Ft. Lauderdale, FL
Heidi Wivolin-Former NEXT Financial Group Broker Sentenced to Two Years/ Shawn O’Sullivan Sentenced to 16 Months-Ft. Lauderdale, FL 150 150 Rex Securities Law

June 20, 2018 UPDATE–Shawn O’Sullivan was sentenced to 16 months in prison followed by 3 years supervised release for his role in the theft which took place in the Manalapan…

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Joeann Walker-Former LPL Financial Broker-Sanctioned Over Annuity Sales-Brockton, MA
Joeann Walker-Former LPL Financial Broker-Sanctioned Over Annuity Sales-Brockton, MA 150 150 Rex Securities Law

December 2017-Brockton, MA According to FINRA  records Joeann M. Walker, (CRD# 2210194) ,  a   stockbroker who formerly worked for NEXT Financial Group and LPL FInancial  was barred from the securities industry for failing…

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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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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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NEXT Financial Group Settles Tenant in Common Case
NEXT Financial Group Settles Tenant in Common Case 150 150 Rex Securities Law

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…

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Dion R. Padilla-NEXT Financial Group Stockbroker-Investigation Update
Dion R. Padilla-NEXT Financial Group Stockbroker-Investigation Update 150 150 Rex Securities Law

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…

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