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Tag: Next Financial losses

Blog, Securities Fraud

Securities Regulatory Information Regarding NEXT Financial

The following is a brief breakdown of publicly available information regarding NEXT Financial and its securities sales practices and FINRA...

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Blog, Securities Fraud

FINRA suspends former Next Financial broker, William Bailey

The Financial Industry Regulatory Authority (FINRA) recently announced that it has suspended William Bailey, a former NEXT Financial Group,...

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Blog, Securities Fraud

Broker Dealers Suing Insurance Carriers Over Coverage For Customer Claims

According to the Investment News, three independent broker-dealers are suing their respective insurance carriers for failing to cover...

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Blog, Securities Fraud

FINRA fines Next Financial for Supervisory Failures

In 2009, FINRA announced that it had fined NEXT Financial Group, Inc., headquartered in Houston, Texas, $1 million for supervisory...

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