Tag: Next Financial Group investigation
July 15, 2021
Next Financial Group to pay $750,000 for Supervisory Failures
FINRA Sanctions Next Financial Group for Unsuitable Mutual Fund Trading The White Law Group is investigating potential securities claims...
Blog, Current Investigations, Securities Fraud Articles
January 3, 2020
Next Financial Group Fined $475,000 over Non-Traded REITs Sales
Massachusetts and New Hampshire Fines Next Financial Group for Supervisory Issues According to the public records this week, two states...
December 14, 2017
JoeAnn Walker Barred from Securities Industry
FINRA inquiry of JoeAnn Walker involves Unsuitable VA sales According to the Financial Industry Regulatory Authority (FINRA), the regulator...
December 13, 2017
FINRA Censures & Fines Next Financial for Supervisory Issues
Next Financial Group– New Procedures but Misconduct Reportedly Continues According to the Financial Industry Regulatory Authority (FINRA)...