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Category NEXT Financial Group

NEXT Financial Sanctioned by FINRA for Violations of Suitability Rule

July 23, 2021

A broker-dealer is obligated to ensure its brokers offer only suitable options to customers, typically by establishing and maintaining a system of supervision that ensures compliance with applicable laws. When NEXT Financial Group, Inc. was found to have violated that practice, FINRA sanctioned the firm with a censure, fine, and a requirement that it consult…

Former Next Financial Group, Inc. Broker, Brian Radoo, Barred By FINRA Following an Investigation Involving His Alleged Involvement In Outside Business Activities

December 20, 2020

Brian Radoo (CRD # 2558458) was a Financial Advisor at Next Financial Group, Inc. in North Woodmere, NY. Brian Radoo has been in the securities industry since 1994 and previously worked at Union Capital Company, Chase Investment Services Corp., HSBC, Citicorp Investment Services, Chase investment Services Corp., and Chemical Investment Services Corp. According to publicly…

Former NEXT Financial Group Broker, Charles Doraine, Barred By FINRA

July 24, 2018

Charles Doraine (CRD # 70411) was a Financial Advisor at NEXT Financial Group in Corpus Christi, Texas. Charles Doraine has been in the securities industry since 1972 and previously worked at Merrill Lynch. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on April 27, 2020, Charles Doraine was sanctioned by…

Financial Advisor Stephen Williams Has 7 Customer Complaints And One Regulatory Event

July 2, 2018

The Wolper Law Firm is currently investigating claims against Stephen Williams, a Financial Advisor at NEXT Financial Group, Inc. in Madison, Alabama.  Stephen Williams entered the securities industry in 2002 and previously worked for Raymond James. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Stephen Williams has eight (8) disclosures…

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