• Robert Rex, Esq.

NEXT Financial Group Fined by State and Federal Regulators-Houston, Texas
NEXT Financial Group Fined by State and Federal Regulators-Houston, Texas 150 150 Robert Rex, Esq.

NEXT Financial Group Investigation September 2021-Houston, TX Houston-based NEXT  Financial Group discloses 26 prior regulatory events, according to FINRA records. These regulatory sanctions include: July 2021-FINRA censured NEXT and assessed a…

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  • Robert Rex, Esq.

Dion Padilla Investigation-Former NEXT Financial Group Broker-Settles Several Customer Suits Involving Annuities-San Antonio, TX
Dion Padilla Investigation-Former NEXT Financial Group Broker-Settles Several Customer Suits Involving Annuities-San Antonio, TX 150 150 Robert Rex, Esq.

May 2019 -San Antonio, Texas According to publicly available records Dion Rey Padilla ,  a  stockbroker who formerly worked for NEXT Financial ,  disclose a prior regulatory suspension and five…

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  • Robert Rex, Esq.

Michael T. Marcom – NEXT Financial Group Broker-Discloses Settled Disputes – Georgetown, TX
Michael T. Marcom – NEXT Financial Group Broker-Discloses Settled Disputes – Georgetown, TX 150 150 Robert Rex, Esq.

May 2018 – Georgetown, TX According to FINRA records, Michael T. Marcom ,  a stockbroker who is currently employed by NEXT Financial Group ., disclose 4 prior customer disputes. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Joseph L. Cotter-Former NEXT Financial Group Broker-Discloses Fine/Suspension/Termination-Charlotte, N.Carolina
Joseph L. Cotter-Former NEXT Financial Group Broker-Discloses Fine/Suspension/Termination-Charlotte, N.Carolina 150 150 Robert Rex, Esq.

March 2018- Charlotte, N. Carolina The FINRA records of  Joseph L. Cotter  ,  a  stockbroker who is currently not registered and who was last employed by  Petersen Investments disclose a recent regulatory matter resulting…

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  • Robert Rex, Esq.

Tye Williams-Former NEXT Financial Broker- Barred From Securities Industry-Frisco, TX
Tye Williams-Former NEXT Financial Broker- Barred From Securities Industry-Frisco, TX 150 150 Robert Rex, Esq.

September 2016-Frisco, Texas Tye Williams, a stockbroker who formerly worked for NEXT Financial Group was barred by the Financial Industry Regulatory Authority (FINRA) from acting as a broker or otherwise…

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  • Robert Rex, Esq.

Douglas P. Simanski-Former NEXT Financial Group Broker-Discharged for Theft
Douglas P. Simanski-Former NEXT Financial Group Broker-Discharged for Theft 150 150 Robert Rex, Esq.

Altoona, PA UPDATE MAY 2017-The FINRA records of former NEXT Financial Group broker Douglas Simanski currently disclose 13 pending customer disputes and 3 customer disputes that are final. The newly…

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  • Robert Rex, Esq.

Dion R. Padilla-NEXT Financial Group Stockbroker-Investigation Update
Dion R. Padilla-NEXT Financial Group Stockbroker-Investigation Update 150 150 Robert Rex, Esq.

May 2019 UPDATE- Dion Padilla/ AT&T Retirement Account investigation. See this for details.   Original Post-May 2016 San Antonio, Texas According to FINRA records, Dion R. Padilla ,  a stock broker who has…

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  • Robert Rex, Esq.

George W. Cole Investigation-NEXT Financial Group Stockbroker
George W. Cole Investigation-NEXT Financial Group Stockbroker 150 150 Robert Rex, Esq.

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…

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