April 2018 -Jasper, Alabama According to FINRA records, Arshad Hussain , a currently unregistered stockbroker who formerly was employed by NEXT Financial Group, disclose 3 prior customer disputes, two terminations from employment and…
read moreApril 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…
read moreRichard Minichino-Former NEXT Financial Group Broker-Terminated From Employment-Wappingers Falls, NY
January 2019- Wappingers Falls, NY The FINRA records of Richard V. Minichino , a former stockbroker who was last employed by NEXT Financial Group , disclose that he was barred by securities regulators, a recent…
read moreUPDATE 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. …
read moreDecember 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…
read moreFEBRUARY 2018 UPDATE–Heidi Wivolin pleads guilty to mail and tax fraud. Sentencing set for May 2, 2018. See this for details. On September 9, 2014, Rex Securities Law filed an…
read moreIn May 2014, the Financial Industry Regulatory Authority (FINRA) fined Houston- based NEXT Financial Group, $88,750 for various regulatory deficiencies, including: NEXT failed in some instances to timely and/or accurately…
read moreMay 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…
read moreBy 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. According to FINRA records…
read more- 1
- 2