Tag: Next Financial
February 19, 2019
Broker-Dealers Refuse Ohio National Agreements
Cetera – NEXT Financial – Refuse Service Agreements with Ohio National According to reports on Friday, several national broker-dealers,...
Blog, Securities Fraud Articles
December 20, 2010
Iowa Broker Dealers Named In Suit Involving Provident Royalties
According to the Business Record, DeWaay Financial Network LLC of Clive and three other Iowa investment brokers are among 49 firms that...
Blog, Securities Fraud Articles
November 26, 2010
Largest Independent Broker-Dealers
According to the Investment News, the following are the largest independent broker-dealers (ranked by reps producing over $100,000): Click...
Blog, Securities Fraud Articles
November 24, 2010
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...
Blog, Securities Fraud Articles
September 16, 2009
FINRA Panel Bars John Mullins for Misappropriating Funds
On September 15, 2009, FINRA announced that a Financial Industry Regulatory Authority (FINRA) Hearing Panel has barred John Edward Mullins...