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Recent Posts in NEXT Financial Category

NEXT Financial to Pay $750,000 in Latest Disciplinary Action Concerning Habitual Deficiencies and Systematic VA Failures

FINRA fined NEXT Financial Group, Inc. $750,000 for inadequate oversight and supervisory deficiencies related to excessive trading detection, failure to perform reviews, and additional compliance ...
Continue reading "NEXT Financial to Pay $750,000 in Latest Disciplinary Action Concerning Habitual Deficiencies and Systematic VA Failures" »

Ex-Royal Alliance, Next Financial, and Dominion Investment Rep Roger Hudspeth Pleads Guilty to $6 Million Fraud

Former Dominion Investment Advisors LLC owner Roger Odell Hudspeth II pleaded guilty to one count of investment adviser fraud and one count of conducting unlawful monetary transactions, the Department ...
Continue reading "Ex-Royal Alliance, Next Financial, and Dominion Investment Rep Roger Hudspeth Pleads Guilty to $6 Million Fraud" »

Next Financial Group, Key Investment Services & Stephens, Inc. to Pay $1.2 Million in Fines and Restitution for Discount Failures

FINRA sanctioned three broker-dealers for failing to apply sales charge discounts for eligible volume purchases of unit investment trusts (UITs), doling out fines and orders of restitution totaling ...
Continue reading "Next Financial Group, Key Investment Services & Stephens, Inc. to Pay $1.2 Million in Fines and Restitution for Discount Failures" »
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The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
Located at 12711 Ventura Boulevard, Suite #440 Studio City, CA 91604. View Map
Phone: (800) 699-1881 | Local Phone: (818) 760-9880.
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