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NEXT Financial Group

Frank Richardson-Former Investacorp Broker-Settles Customer Suit Involving REITs-Houston, Texas

Frank Richardson-Former Investacorp Broker-Settles Customer Suit Involving REITs-Houston, Texas 150 150 Rex Securities Law

Frank Richardson Investigation November 2021-Houston, TX According to publicly available records   William Franklin (“Frank”) Richardson, Jr.  , a  stockbroker who is currently registered with Avantax Investment Services and who was previously…

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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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Michael T. Marcom – NEXT Financial Group Broker-Discloses Settled Disputes – Georgetown, TX

Michael T. Marcom – NEXT Financial Group Broker-Discloses Settled Disputes – Georgetown, TX 150 150 Rex Securities Law

May 2018 – Georgetown, TX According to FINRA records, Michael T. Marcom ,  a stockbroker who is currently employed by NEXT Financial Group ., disclose 4 prior customer disputes. The Financial Industry Regulatory…

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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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Danielle McAniff-Former Edward Jones Broker-Discloses Regulatory Sanction-Albuquerque, N. Mexico

Danielle McAniff-Former Edward Jones Broker-Discloses Regulatory Sanction-Albuquerque, N. Mexico 150 150 Rex Securities Law

February 2018-Albuquerque, New Mexico The FINRA records of Danielle Jean McAniff, a broker currently employed by NEXT Financial Group, disclose that she was recently suspended for two months and fined…

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Investigation of NEXT Financial Group RE: Misappropriation of Customer Funds-Houston, TX

Investigation of NEXT Financial Group RE: Misappropriation of Customer Funds-Houston, TX 150 150 Rex Securities Law

May 2019 UPDATE NEXT TO BE PURCHASED BY ATRIA | SANCTIONED OVER MUTUAL FUND  SHARES—In January 2019 NEXT Financial Group announced plans to be purchased by private equity backed Atria…

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