Categories Archives
You are currently viewing all posts published under NEXT Financial Group
More Fines against NEXT Financial Group

In May 2008, FINRA fined NEXT Financial Group for reporting violations; NEXT Financial is obligated to update FINRA when certain material adverse events occur ...
Read moreNEXT Financial Group Fined $1,000,000

NEXT Financial Group was fined $1,000,000 by regulators for supervisory violations. Those failures to supervise involve failing to properly supervise its approximately 130 Office ...
Read more