Next Financial Group Archives

Robert Rex, Esq.
April 1, 2016

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

Tye Williams Named in Lawsuit-NEXT Financial Broker-Frisco,TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g April 1, 2016 April 1, 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. …

Robert Rex, Esq.
April 1, 2016

Joseph Cotter Discharged by NEXT FInancial-Excessively Trading Customer Account

Joseph Cotter Discharged by NEXT FInancial-Excessively Trading Customer Account https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g April 1, 2016 April 1, 2016

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.…

Robert Rex, Esq.
April 1, 2016

George W. Cole Investigation-NEXT Financial Group Stockbroker

George W. Cole Investigation-NEXT Financial Group Stockbroker https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?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…

Robert Rex, Esq.
March 18, 2016

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://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g March 18, 2016 September 29, 2023

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.…

Robert Rex, Esq.
February 5, 2016

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://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?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,…

Robert Rex, Esq.
January 11, 2016

Betsy Marcom-NEXT Financial Group Broker Fined/Suspended for Unsuitable Recommendation to Church-Georgetown, TX

Betsy Marcom-NEXT Financial Group Broker Fined/Suspended for Unsuitable Recommendation to Church-Georgetown, TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g January 11, 2016 January 11, 2016

November 19, 2015-Georgetown, Texas Betsy Marcom (formerly Betsy Bratton Perryman) , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between…

Robert Rex, Esq.
September 16, 2015

NEXT Financial Group May Be Sold According to Investment News

NEXT Financial Group May Be Sold According to Investment News https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g September 16, 2015 September 16, 2015

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…

Robert Rex, Esq.
August 10, 2015

Jeremy J McGilvrey-Former NEXT Financial Broker Claims he Has Paid Restitution to Fraud Victims-San Antonio

Jeremy J McGilvrey-Former NEXT Financial Broker Claims he Has Paid Restitution to Fraud Victims-San Antonio https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g August 10, 2015 August 10, 2015

San Antonio, Texas August 6, 2015 KENS 5 Eyewitness News of San Antonio reports that Jeremy James McGilvrey claimed in an interview last month that he has paid restitution to…

Robert Rex, Esq.
June 24, 2015

Dirk Rabenold-NEXT Financial Group Broker-Discloses Settlement of Customer Arbitration

Dirk Rabenold-NEXT Financial Group Broker-Discloses Settlement of Customer Arbitration https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 24, 2015 June 24, 2015

UPDATE JUNE 2017– FINRA Case 15-2763, which was filed against Dirk Rabenold by a customer of NEXT Financial Group customer alleged that Rabenold recommended an unsuitable investment and sought damages of…

Robert Rex, Esq.
June 19, 2015

Shaun Paul Golden-Former NEXT Financial Group Broker Sanctioned by Regulators

Shaun Paul Golden-Former NEXT Financial Group Broker Sanctioned by Regulators https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 19, 2015 June 19, 2015

UPDATE FEBRUARY 2017-RIverhead, New York In February 2017 the Florida Office of Financial Regulation entered a Final Order against Shaun Paul Golden permanently barring him from applying for registration. Case#…

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