NEXT Financial Group, Inc. (CRD #46214, Houston, Texas)
was censured, fined $265,000 and ordered to pay $177,071.01, plus interest, in restitution to customers for allegedly purchasing agency securities for its own account from a customer or sold agency securities for its own account to a customer in the course of its business at an unfair and reasonable price.
(FINRA Case #2011026521101)
This ends the summation of information obtained on FINRA’s "Disciplinary and Other FINRA Actions February 2015."
Soreide Law Group represent clients nationwide. If you feel you have become a victim of unfair pricing by your broker/dealer, call a Securities Arbitration Lawyer for a free consultation on how to potentially recover your losses at: 888-760-6552.
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