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next financial litigation

Next Financial – Heidi Wivolin lakijutun päivitys

Next Financial – Heidi Wivolin lakijutun päivitys 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.    19. helmikuuta . 2014 , Mrachek , Fitzgerald…

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RSL Tutkii Next Financial Pörssimeklari Heidi Wivolinin Toimia

RSL Tutkii Next Financial Pörssimeklari Heidi Wivolinin Toimia 150 150 Rex Securities Law

By Robert H. Rex, Esq . Rex Arvopaperilakiosasto tutkii Heidi Wivolinin toimia ,pörssimeklari, joka tällä hetkellä on rekisteröitynyt NEXT Financial Group alla , ja Shawn O’Sullivania , joka operoi useita yrityksiä…

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Former Next Financial/Wells Fargo Broker Roy Harris FIned/Suspended for Unauthorized Trading

Former Next Financial/Wells Fargo Broker Roy Harris FIned/Suspended for Unauthorized Trading 150 150 Rex Securities Law

The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA’s chief role is to protect investors by maintaining the fairness…

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Ex-Next Financial Broker Elmer Bullis Suspended-Misrepresenting Annuities

Ex-Next Financial Broker Elmer Bullis Suspended-Misrepresenting Annuities 150 150 Rex Securities Law

Richmond, Virginia The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA’s chief role is to protect investors by maintaining…

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Thomas Redmond-Former Capital Financial Services/Next Financial Broker Charged with Fraud

Thomas Redmond-Former Capital Financial Services/Next Financial Broker Charged with Fraud 150 150 Robert H. Rex
FINRA records indicate that Thomas Heflin Redmond, Jr. was registered with these firms during the time frames indicated: Next Financial Group, Inc.                                        12/2007-10/2009 Capital Financial Services, Inc.                                  8/2005-11/2007 Empire Financial Group, Inc.                                     11/2003-8/2005 Freedom Financial, inc.                                               2/2002-11/2003 SII Investments, Inc.                                                    3/2001-3/2002 In 2011,FINRA revoked Redmond’s registration for making an unsuitable investment to a 60 year old widow, for whom he invested 47.5% of her liquid net worth in high risk investments including $100,000 in an oil and gas limited partnership. Redmond forged signatures and otherwise failed to follow the instructions of the customer. read more