Search for: "NEXT Financial Group, Inc."
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4 Aug 2009, 2:34 pm
FINRA says NEXT Financial Group Inc. has agreed to a one million dollar fine for its alleged failure to properly supervise a number of client accounts and over 100 office of supervisory jurisdiction (OSJ) branch managers. [read post]
2 Feb 2021, 7:25 am
His previous employers include Next Financial Group, Inc. [read post]
29 Dec 2020, 9:44 am
Her previous employers include Tricor Financial, LLC (CRD#:142518) and Next Financial Group, Inc. [read post]
25 Aug 2017, 12:00 am
In In re OM Group, Inc., No. 11216-VCS, 2016 BL 339835 (Del. [read post]
19 Feb 2019, 7:07 am
Cetera – NEXT Financial – Refuse Service Agreements with Ohio National According to reports on Friday, several national broker-dealers, including Cetera Financial Group and NEXT Financial Group, are reportedly refusing to sign new agreements with Ohio National Financial Services Inc., during an ongoing dispute over variable annuity commissions. [read post]
10 Nov 2021, 1:14 pm
Silver Law Group is investigating Chegg, Inc. [read post]
25 Aug 2023, 11:47 am
Woodbury Financial Services, Inc. [read post]
4 May 2012, 1:06 pm
Forethought Financial Group, a privately-owned Houston based firm, is bringing more annuities business to Texas with its purchase of The Hartford Financial Services Group Inc. [read post]
22 Oct 2009, 9:38 am
(AIG); Citigroup Inc.; Bank of America Corporation; Chrysler Group, LLC; General Motors Company; General Motors Acceptance Corporation Financial Services (GMAC) and Chrysler Financial. [read post]
14 Nov 2018, 6:47 am
A number of housing and financial industry trade groups, including the Mortgage Bankers Association and Real Estate Services Providers Council, Inc. [read post]
7 May 2013, 6:04 am
Although many firms have implemented policies and procedures to track emails, the devil is often in the details, as this recent settlement proves.NEXT On LineFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, NEXT Financial Group, Inc., submitted a Letter… [read post]
9 Jul 2021, 12:50 pm
Roisman)FINRA Censures and Fines NEXT Financial Group for Funds and Bonds SupervisionIn the Matter of NEXT Financial Group, Inc., Respondent (FINRA AWC)FINRA Arbitrators Directly Nullify Indirect Non Solicitation Agreement (BrokeAndBroker.com Blog)... [read post]
25 Jan 2019, 1:16 pm
Stephen Joe Williams (CRD #2395948) is a registered broker and investment advisor currently employed by NEXT FINANCIAL GROUP, INC. [read post]
13 Dec 2017, 6:27 am
Cotter was formerly registered with Next Financial Group, Inc. [read post]
25 Jun 2019, 11:22 am
The next day Momo denied the allegations in the Spruce Point memo. [read post]
12 Jul 2017, 12:02 pm
In June 2016, Next Financial Group, Inc. [read post]
30 Jun 2018, 12:52 pm
The securities attorneys at Gana Weinstein LLP are investigating claims against Next Financial Group Inc. [read post]
17 May 2019, 7:19 am
Richard Vincent Minichino II (CRD#: 5760826) is a former registered broker and investment advisor whose last employer was Next Financial Group, Inc. [read post]
25 Jun 2019, 1:51 pm
The next day, the SEC disclosed that Pyxus had settled charges that it misstated financial statements filed with the SEC from 2011 through 2015 because of bad process, control, and accounting. [read post]
20 Mar 2020, 3:19 pm
In Next Financial Group, Inc. v. [read post]
