next financial group lawsuit Archives

Robert Rex, Esq.
September 28, 2021

NEXT Financial Group Fined by State and Federal Regulators-Houston, Texas

NEXT Financial Group Fined by State and Federal Regulators-Houston, Texas https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g September 28, 2021 September 28, 2021

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…

Robert Rex, Esq.
May 27, 2019

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 https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 27, 2019 February 19, 2024

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…

Robert Rex, Esq.
March 5, 2018

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 https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 5, 2018 March 5, 2018

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…

Robert Rex, Esq.
October 25, 2017

Tye Williams-Former NEXT Financial Broker-Subject of $1M Customer Dispute-Frisco, TX

Tye Williams-Former NEXT Financial Broker-Subject of $1M Customer Dispute-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/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g October 25, 2017 October 25, 2017

UPDATE OCTOBER 2017– Frisco, TX Former NEXT Financial Group stockbroker, Tye Williams was barred from the securities industry by FINRA for failing to cooperate with regulatory investigation alleging theft of $1M, making…

Robert Rex, Esq.
September 19, 2017

Tye C. Williams-Former NEXT Financial Group Broker-Named in $1M Customer Dispute-Frisco, TX

Tye C. Williams-Former NEXT Financial Group Broker-Named in $1M Customer Dispute-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/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g September 19, 2017 September 19, 2017

September 2017 – Frisco, Texas According to publicly available records Tye C. Williams (CRD#1271046) , a former stockbroker who was most recently employed by NEXT Financial Group , disclose a regulatory event that resulted in…

Robert Rex, Esq.
April 12, 2017

Nghi Thanh Ho -IMS Securities Broker-Discloses Customer Dispute- Houston, TX

Nghi Thanh Ho -IMS Securities Broker-Discloses Customer Dispute- Houston, 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/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 12, 2017 April 11, 2024

April 2017 – Houston, TX According to publicly available records Nghi Thanh Ho, (CRD#2327672) , a stockbroker who is currently registered with IMS Securities discloses one pending customer dispute and a separation from employment. The Financial Industry…

Robert Rex, Esq.
December 9, 2016

Tye Williams-Former NEXT Financial Broker- Barred From Securities Industry-Frisco, TX

Tye Williams-Former NEXT Financial Broker- Barred From Securities Industry-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/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g December 9, 2016 December 9, 2016

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…

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/fdf83cd1ed57a0f07270ad756fbea2eb?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.
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/fdf83cd1ed57a0f07270ad756fbea2eb?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…