Articles Tagged with Dion Padilla

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Dion PadillaPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 17, 2017 indicate that former Texas-based Next Financial Group broker/adviser Dion Padilla has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Padilla (CRD# 4432230).

Dion Padilla has spent fourteen years in the securities industry and was most recently registered with Next Financial Group in San Antonio, Texas (2016-2017). Previous registrations include Securities America in La Vista, Nebraska; UBS Financial Services in Weehawken, New Jersey; Valic Financial Advisors in Houston, Texas; and Merrill Lynch in New York, New York. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received two customer complaints, one pending customer complaint, and one FINRA sanction.