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Tag: Next Financial

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Broker-Dealers Refuse Ohio National Agreements

Cetera – NEXT Financial – Refuse Service Agreements with Ohio National According to reports on Friday, several national broker-dealers,...

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Blog, Securities Fraud Articles

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...

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Blog, Securities Fraud Articles

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...

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Blog, Securities Fraud Articles

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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Blog, Securities Fraud Articles

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...

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