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next financial litigation

Arshad Hussain-Former NEXT Financial Broker-Discharged by NEXT Financial for Improper Trading-Jasper, Alabama

Arshad Hussain-Former NEXT Financial Broker-Discharged by NEXT Financial for Improper Trading-Jasper, Alabama 150 150 Rex Securities Law

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…

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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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Richard Minichino-Former NEXT Financial Group Broker-Terminated From Employment-Wappingers Falls, NY

Richard Minichino-Former NEXT Financial Group Broker-Terminated From Employment-Wappingers Falls, NY 150 150 Rex Securities Law

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…

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Tye Williams Named in Lawsuit-NEXT Financial Broker-Frisco,TX

Tye Williams Named in Lawsuit-NEXT Financial Broker-Frisco,TX 150 150 Rex Securities Law

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. …

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NEXT Financial Fined $265,000 by Securities Regulators

NEXT Financial Fined $265,000 by Securities Regulators 150 150 Rex Securities Law

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…

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Rex Securities Law Files Arbitration Vs. NEXT Financial Group for Failure to Supervise Heidi Wivolin-Manalapan FL

Rex Securities Law Files Arbitration Vs. NEXT Financial Group for Failure to Supervise Heidi Wivolin-Manalapan FL 150 150 Rex Securities Law

FEBRUARY 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…

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FINRA Sanctions Next Financial For Supervisory Deficiencies & Structured Product Sales

FINRA Sanctions Next Financial For Supervisory Deficiencies & Structured Product Sales 150 150 Rex Securities Law

In 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…

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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 150 150 Rex Securities Law

  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…

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Heidi Wivolin Terminated by NEXT Financial Group

Heidi Wivolin Terminated by NEXT Financial Group 150 150 Rex Securities Law

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.  According to FINRA records…

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