next financial group problem Archives - Page 2 of 3

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
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…

Rex Securities Law
April 4, 2016
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Dion Padilla Investigation-NEXT FInancial Group Stockbroker-San Antonio,TX

Dion Padilla Investigation-NEXT FInancial Group Stockbroker-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 April 4, 2016 May 18, 2019

May 2019 UPDATE- Dion Padilla/ AT&T Retirement Account investigation. See this for details. Original Post-April 4, 2016-San Antonio, Texas According to their website, The Financial Industry Regulatory Authority (FINRA),…

Rex Securities Law
April 1, 2016
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Tye Williams Named in Lawsuit-NEXT Financial Broker-Frisco,TX

Tye Williams Named in Lawsuit-NEXT Financial Broker-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 April 1, 2016 December 9, 2016

UPDATE SEPTEMBER 2016– Former NEXT Financial Group stockbroker, Tye Williams barred from the securities industry for failing to cooperate with regulatory investigation alleging theft of $1M. See this for more details. …

Rex Securities Law
April 1, 2016
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Joseph Cotter Discharged by NEXT FInancial-Excessively Trading Customer Account

Joseph Cotter Discharged by NEXT FInancial-Excessively Trading Customer Account 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 March 5, 2018

March 2018 UPDATE–See this for update. Cotter suspended and fined for excessive trading. UPDATE JULY 2016-Customer of former NEXT Financial Group broker Joseph L. Cotter brings complaint alleging $625,000 damages.…

Rex Securities Law
April 1, 2016
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George W. Cole Investigation-NEXT Financial Group Stockbroker

George W. Cole Investigation-NEXT Financial Group Stockbroker 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- Toms River, New Jersey FINRA records report that NEXT Financial Group stockbroker George W. Cole has been named in a customer complaint alleging that advice given by Cole…

Rex Securities Law
March 18, 2016
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Eduardo “Eddie” Diaz-Former NEXT Financial Broker- Pleads Guilty to Fraud-Sentenced to 70 Months-Ocean Springs, Mississippi

Eduardo “Eddie” Diaz-Former NEXT Financial Broker- Pleads Guilty to Fraud-Sentenced to 70 Months-Ocean Springs, Mississippi 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 18, 2016 June 15, 2018

September 2016 UPDATE–Eduardo Diaz was permanently barred from the securities industry by the US Securities and Exchange Commission (SEC) on 9/7/2016, after pleading guilty to one count of mail fraud.…

Rex Securities Law
February 5, 2016
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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) 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 February 5, 2016 February 5, 2016

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,…

Rex Securities Law
September 16, 2015
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NEXT Financial Group May Be Sold According to Investment News

NEXT Financial Group May Be Sold According to Investment News 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 16, 2015 April 12, 2016

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…