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Written by 7:29 pm Blog, Current Investigations

Charles L. Doraine, Financial Advisor Fraud Investigation

Charles L. Doraine Financial advisor Fraud Investigation, featured by Top Securities Fraud Attorneys, The White Law Group

Broker Charles L. Doraine, Next Financial Group in Corpus Christi, TX

Are you concerned about your investments with financial advisor Charles L. Doraine? If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Dispute Resolution claim.

According to public records on the Financial Industry Regulatory Authority  (FINRA) website on April 27, 2020,  the regulator reportedly barred Doraine after he allegedly failed to provide testimony in its investigation into whether Doraine had made unsuitable recommendations to customers resulting in (1) short-term trading in mutual fund A shares; (2) short-term trading of Puerto Rican municipal bonds; and (3) overconcentration of customer accounts in Puerto Rican municipal bonds.

According to his broker profile, Doraine was reportedly registered with Next Financial Group in Corpus Christi, TX from 2007 until 2019. He has 7 customer complaints reportedly filed against him, according to FINRA, with one still pending, and six settled. Allegations include unsuitable annuities and excessive trading, among others.

If you are concerned about your investments with Charles L. Doraine, please call the securities fraud attorneys at The White Law Group at 888-637-5510 for a free consultation. 

The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Franklin, Tennessee.

For more information on The White Law Group, and its representation of investors, please visit www.WhiteSecuritiesLaw.com.

Tags: , , , , , Last modified: April 28, 2020