next financial complaints

  • Robert Rex, Esq.

Charles Kulch Investigation-NEXT FInancial/Investors Capital Broker-Nashua, NH
Charles Kulch Investigation-NEXT FInancial/Investors Capital Broker-Nashua, NH 150 150 Robert Rex, Esq.

  See this for March 2024 Update on former NEXT Financial Group Broker Charles Kulch   April 1, 2016- Nashua, New Hampshire FINRA records report that NEXT Financial Group stockbroker Charles…

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  • Robert Rex, Esq.

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 Robert Rex, Esq.

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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  • Robert Rex, Esq.

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 Robert Rex, Esq.

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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  • Robert Rex, Esq.

Dion R. Padilla-NEXT Financial Group Broker-Sanctioned Over Annuity Sales
Dion R. Padilla-NEXT Financial Group Broker-Sanctioned Over Annuity Sales 150 150 Robert Rex, Esq.

May 2019 UPDATE- Dion Padilla/ AT&T Retirement Account investigation. See this for details.   ORIGINAL POST-July 2016- San Antonio, Texas The FINRA records of Dion R. Padilla  , a stock broker currently employed by NEXT…

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  • Robert Rex, Esq.

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 150 150 Robert Rex, Esq.

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…

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  • Robert Rex, Esq.

Shaun Paul Golden-Former NEXT Financial Group Broker Sanctioned by Regulators
Shaun Paul Golden-Former NEXT Financial Group Broker Sanctioned by Regulators 150 150 Robert Rex, Esq.

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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