Tag: Next Financial losses
Blog, Securities Fraud Articles
September 26, 2011
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...
Blog, Securities Fraud Articles
July 21, 2011
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,...
Blog, Securities Fraud Articles
February 21, 2011
Broker Dealers Suing Insurance Carriers Over Coverage
According to the Investment News, three independent broker-dealers are suing their respective insurance carriers for failing to cover...
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...
