Search for: "NEXT Financial Group, Inc."
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14 Jul 2021, 1:33 pm
FINRA has fined and censured NEXT Financial Group, Inc. [read post]
21 Feb 2019, 11:49 am
The company has recently agreed to acquire NEXT Financial Group Inc., an independent broker-dealer based in Houston. [read post]
2 Feb 2021, 8:41 am
The post Investors Allege Charles Kulch of NEXT Financial Group, Inc. [read post]
22 Jul 2009, 12:03 pm
FINRA) announced today that it fined NEXT Financial Group, Inc., headquartered in Houston, TX, $1 million for supervisory violations that primarily involved the failure to supervise its approximately 130 Office of Supervisory Jurisdiction (OSJ) branch managers, who typically supervise transactions... [read post]
29 Nov 2011, 6:00 am
Next Financial Group, Inc. [read post]
14 Mar 2024, 6:19 pm
The settlement, disclosed on the state’s Bureau of Securities Regulation website, reportedly imposes hefty penalties on Kulch and his former broker-dealer, Next Financial Group Inc., totaling over $1 million. [read post]
20 Jun 2008, 9:00 am
Kelly, an administrative law judge with the SEC, was issued in the NEXT Financial Group, Inc. case. [read post]
9 Jan 2019, 11:31 am
Next Financial Group Inc. will be purchased by Atria Solutions. [read post]
25 Apr 2019, 10:27 am
KushCo Holdings Inc. [read post]
15 Nov 2021, 5:46 am
If your financial advisor or broker sold you shares of Chegg, Inc. [read post]
4 Dec 2018, 1:56 pm
According to BrokerCheck records former financial advisor Charles Doraine (Doraine), currently employed by Next Financial Group, Inc. [read post]
3 Sep 2014, 7:35 am
The Financial Industry Regulatory Authority (FINRA) sanctioned brokerage firm NEXT Financial Group, Inc. [read post]
13 Dec 2017, 8:04 am
Next Financial Group– New Procedures but Misconduct Reportedly Continues According to the Financial Industry Regulatory Authority (FINRA) on Tuesday, the regulator has fined Next Financial Group Inc. [read post]
17 Dec 2008, 4:40 am
The Texas Supreme Court says that former NEXT Financial Group Inc. stockbroker Michael Clements's claim that the brokerage firm fired him for refusing to cover up churning activity must be arbitrated. [read post]
23 Jul 2012, 2:35 pm
Peregrine Financial Group, Inc. [read post]
13 May 2020, 8:00 am
Silver Law Group, a nationally-recognized class action law firm representing investors, is investigating Brookdale Senior Living Inc. [read post]
18 Jun 2008, 10:01 pm
Kelly is ordering Next Financial Group Inc. to cease and desist from recruiting practices that violate privacy laws. [read post]
6 Jan 2020, 11:24 am
Aurora Cannabis Inc. [read post]
26 May 2020, 5:43 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Radoo was terminated by his prior employer, Next Financial Group, Inc. [read post]
25 Aug 2017, 5:00 am
In In re OM Group, Inc., No. 11216-VCS, 2016 BL 339835 (Del. [read post]
