Skip to content
(888) 637 5510
White Securities Law
  • Attorneys
    • D. Daxton White, Managing Partner
    • Michael D. Kennedy, Partner
  • Practice Areas
    • Securities Fraud Attorneys
    • Securities Employment Attorneys
  • Resources
    • Contingency Fees
    • Types of Investment Fraud
    • Complex Investment Products
    • Common Securities Claims
    • FINRA Arbitration Attorney
    • FAQ
    • Press and Media
    • FINRA-Registered Broker Dealer Reviews
    • What is FINRA?
    • Testimonials
  • Locations
    • Chicago Securities Fraud Attorneys
    • Seattle Securities Fraud Attorneys
  • Blog
    • Broker Investigations
    • Current Investigations
    • FINRA and the SEC
    • Investment Loss Recovery
    • Podcasts
    • Publications
    • Securities Fraud Articles
  • Contact Us
  • Attorneys
    • D. Daxton White, Managing Partner
    • Michael D. Kennedy, Partner
  • Practice Areas
    • Securities Fraud Attorneys
    • Securities Employment Attorneys
  • Resources
    • Contingency Fees
    • Types of Investment Fraud
    • Complex Investment Products
    • Common Securities Claims
    • FINRA Arbitration Attorney
    • FAQ
    • Press and Media
    • FINRA-Registered Broker Dealer Reviews
    • What is FINRA?
    • Testimonials
  • Locations
    • Chicago Securities Fraud Attorneys
    • Seattle Securities Fraud Attorneys
  • Blog
    • Broker Investigations
    • Current Investigations
    • FINRA and the SEC
    • Investment Loss Recovery
    • Podcasts
    • Publications
    • Securities Fraud Articles
  • Contact Us
Free Consultation

Written by The White Law Group• December 14, 2017• 4:05 pm• Blog, Current Investigations

JoeAnn Walker Barred from Securities Industry

JoeAnn Walker
Share at:
ChatGPT Perplexity Grok Google AI

FINRA inquiry of JoeAnn Walker involves Unsuitable VA sales

According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred former Next Financial advisor JoeAnn Walker (CRD#: 2210194, Brockton, MA) for not completing documentation in a recent inquiry.

FINRA was inquiring into possible unsuitable sales of variable annuities by Walker. Although her response to FINRA’s request included some documents, the response reportedly was incomplete, and her attorney said that she would not provide any additional documents at any time.

On Tuesday, the regulator also fined Next Financial Group Inc.  $750,000 as part of a settlement for several supervisory violations involving variable annuities.  It is unclear if the two announcements are connected.

According to her FINRA BrokerReport, Walker was registered with Next Financial from April 2015 until she was discharged in October 2017.

Prior to that, she was affiliated with LPL Financial from August 2006 until April 2015. She has three customer disputes listed on her broker report. Allegations include excessive turnover and unauthorized sales.

For FINRA’s full findings see FINRA case number2016049354501.

Investigating Potential Claims

The White Law Group is investigating the liability that brokerage firms may have for losses sustained by their clients.  Brokerage firms are required to adequately supervise their agents to ensure they are complying with FINRA rules. If it is determined that the broker dealer failed to supervise their agents, they can be held responsible for losses in a FINRA arbitration claim.

Are you concerned about your investments with JoeAnn Walker and Next Financial Group?  The attorneys at The White Law Group may be able to help you. For a free consultation with a securities attorney, please call (888) 637-5510.

The foregoing information, which is all publicly available on FINRA’s website, is being provided by The White Law Group. The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee.

For more information on The White Law Group, please visit www.whitesecuritieslaw.com

 

Tags: JoeAnn Walker barred, JoeAnn Walker Brockton MA, JoeAnn Walker class action, JoeAnn Walker complaints, JoeAnn Walker investigation, JoeAnn Walker lawsuit, JoeAnn Walker litigation, JoeAnn Walker losses, JoeAnn Walker LPL, JoeAnn Walker recovery options, JoeAnn Walker variable annuity, Next Financial Group, Next Financial Group complaints, Next Financial Group fined, Next Financial Group FINRA, Next Financial Group fraud attorney, Next Financial Group investigation, Next Financial Group investment losses, Next Financial Group JoeAnn Walker, Next Financial Group lawsuit, Next Financial Group litigation, Next Financial Group losses, Next Financial Group supervisory issues, Next Financial L share, Next Financial variable annuity, securities fraud lawyer Last modified: April 10, 2023

Related Posts

Investor Alert: CAI Investments Daytona DST, featured by top securities fraud attorneys, The White Law Group

Blog, Investment Loss Recovery

August 8, 2025

CAI Investments Daytona DST: Investor Alert

Share at: ChatGPT Perplexity Grok Google AICAI Investments Daytona DST: Investor Lawsuit Investigation Investors in CAI Investments Daytona...

Read More →
IHC - Ashbrook DST, Securities Investigation, featured by top securities fraud attorneys, The White Law Group

Blog, Investment Loss Recovery

August 1, 2025

IHC – Ashbrook DST: Securities Investigation

Share at: ChatGPT Perplexity Grok Google AIConcerned About Your Investment in IHC – Ashbrook DST? If you invested in IHC – Ashbrook DST...

Read More →
ACA Illinois Tier 1 Student Housing DST Securities Investigation, featured by top securities fraud attorneys, The White Law Group

Blog, Investment Loss Recovery

July 25, 2025

ACA Illinois Tier 1 Student Housing DST: Securities Investigation

Share at: ChatGPT Perplexity Grok Google AIACA Illinois Tier 1 Student Housing DST: Investor Lawsuit Investigation Investors in ACA...

Read More →
Core Pacific Crosslakes DST: Investor Lawsuit Investigation. Featured by top securities fraud attorneys, The White Law Group

Blog, Current Investigations

May 15, 2025

Core Pacific Crosslakes DST: Investor Lawsuit Investigation

Share at: ChatGPT Perplexity Grok Google AIInvestment Concerns: Core Pacific Crosslakes DST Have you suffered losses investing in Core...

Read More →
← Corporate Capital Trust II BDC Previous Story
Corporate Capital Trust II BDC – Suspends Offering
→ CNL Lifestyle Properties Inc. - Plan of Dissolution featured by top securities fraud attorneys, the White Law Group Next Story
CNL Lifestyle Properties Inc. – Plan of Dissolution

Comments are closed.

THE WHITE LAW GROUP
Investment Losses? Contact us now for a free consultation!

Investment Losses?

Contact us now for a free consultation!
Loading
Committed to helping investors in all 50 states pursue claims against financial professionals and brokerage firms.
(888) 637-5510 . (312) 238-9650 . (312) 238-8950

Chicago Office: 125 South Wacker Dr., Suite 300 Chicago, IL 60606

Seattle Office: 450 Alaskan Way S., Suite 200 Seattle, WA 98104

Our Attorneys
  • D. Daxton White
  • Michael D. Kennedy
Our Locations
  • Chicago Securities Fraud Attorneys
  • Seattle Securities Fraud Attorneys
Our Practice Areas
  • Selling Away
  • Elder Financial Exploitation
  • Margin Trading
  • Broker Negligence
  • Unsuitable Investments
  • Misrepresentation
  • Excessive Trading/Churning
  • Ponzi Schemes
  • Unauthorized Trading
Other Information Links
  • Contact Us
  • Blog
  • Press and Media
  • Client Testimonials
  • Frequently Asked Questions
  • Privacy Policy
  • Sitemap
© 2025 by The White Law Group, LLC All rights reserved.