Investors potentially incurred losses because of securities broker Earl Eugene Newsome [CRD: 2436856, Spring, Texas], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Newsome worked for Next Financial Group Inc. from November 20, 2007, to July 10, 2025, and has been registered with LPL Financial LLC since July 10, 2025. Investors […]

Investors have come forward with complaints about securities broker Dirk Rabenold (CRD:  1407291, Williamsville, NY). Evidently, the securities broker, who worked for Next Financial Group Inc. and Prudential Securities, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. For more on these disclosures about Rabenold, see below; however, keep in mind that the securities […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Brian Radoo [CRD#: 2558458, North Woodmere, NY], who worked for Next Financial Group. Additionally, the securities broker discloses a regulatory enforcement action. However, Radoo denies the allegations of sales practice violations. Read on to learn more about the allegations against Radoo. Next Financial […]

Broker Steven Maher Sanctioned, Involved In Investor Dispute Financial Industry Regulatory Authority (FINRA) discloses through BrokerCheck that it sanctioned securities broker Steven Maher (CRD#: 1011535, Oradell, New Jersey) and that an investor disputed Maher’s sales practices. Evidently, Maher worked for securities firms American General Securities Incorporated, Sagepoint Financial, and Next Financial Group. He joined American […]

FINRA Bars Securities Broker Brian Radoo, And Investors File Disputes About Him The Financial Industry Regulatory Authority (FINRA) contains important regulatory sanctions and client disputes involving securities broker Brian Radoo (CRD#: 2558458, Tucson, Arizona). It appears on BrokerCheck that FINRA barred Radoo as a securities broker in December 2020. Six investors filed disputes alleging sales […]

CHARLES DORAINE Allegedly Sold Unsuitable Investments Have you suffered losses by investing with Next Financial Group Inc. securities broker Charles Doraine (CRD#: 70411, Corpus Christi, Texas)? Notably, the Financial Industry Regulatory Authority (“FINRA”) shows on BrokerCheck that at least six clients contested Doraine’s sales practices. Here is a summary of some recent disputes which concern […]

Misconduct Alleged Against Next Financial Broker Michael Matthews Next Financial Group, Inc. (CRD#: 46214, Houston, Texas) is a FINRA and SEC regulated brokerage firm and investment advisory. Regulators have taken disciplinary action against Next Financial Group, Inc. on at least 20 occasions, according to FINRA BrokerCheck. Not only that, but the firm was found liable […]

Next Financial Group Broker Douglas Simanski Guilty Of Fraud Soreide Law Group is investigating claims on behalf of investors who purchased investments from Douglas Simanski (CRD#: 2606998, Altoona, Pennsylvania), a former Next Financial Group, Inc. registered representative and investment advisor. The United States Attorney’s Office for the Western District of Pennsylvania announced on November 3, […]

The Financial Industry Regulatory Authority (FINRA) sanctioned the following eight firms and 10 individuals, and ordered restitution totaling more than $3.2 million, for selling interests in private placement offerings without having a reasonable basis for recommending the securities. The firms and individuals sold interests in several high-risk private placements, including those issued by Provident Royalties, […]