Articles Tagged with Next Financial Group

Charles DorainePublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 23, 2018 indicate that Texas-based Next Financial Group broker/adviser Charles Doraine has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Doraine (CRD# 70411).

Charles Doraine has spent 45 years in the securities industry and has been registered with Next Financial Group in Corpus Christi, Texas since 2007. Previous registrations include Merrill Lynch in Corpus Christi, Texas (1978-2007) and Merrill Lynch (1972-1978). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on August 7, 1995; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 21, 1989; PC (AMEX Put and Call Exam), which he obtained on May 1, 1977; and Series 1 (Registered Representative Examination), which he obtained on December 13, 1972. He is a registered broker and investment adviser with eleven US states and territories: California, Connecticut, Florida, Georgia, Illinois, Maryland, Nevada, New Jersey, New York, Texas, and Washington.

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

Arshad HussainPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on May 25, 2018 indicate that former Alabama-based Next Financial Group broker/adviser Arshad Hussain was terminated from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Hussain (CRD# 4247600).

Arshad Hussain has spent 16 years in the securities industry and was most recently registered with Next Financial Group in Jasper, Alabama (2007-2018). He was previously registered with Edward Jones in Jasper, Alabama (2001-2007). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 1, 2001, and Series 7 (General Securities Representative Examination), which he obtained on February 26, 2001. He is currently not registered with any state or firm.

According to his BrokerCheck report, he was discharged from two former employers in connection to alleged rule violations and he has received several denied customer complaints.

Richard Minichino

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 22, 2018 indicate that former New York-based Next Financial Group broker/adviser Richard Minichino was recently discharged from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Minichino (CRD# 5760862).

Richard Minichino has spent 7 years in the securities industry and was most recently registered with Next Financial Group in New York, New York (2016-2018). Previous registrations include Wunderlich Securities in New York, New York (2014-2016); JP Morgan Securities in Peekskill, New York (2012-2014); Chase Investment Services in Yorktown Heights, New York (2011-2012); and David Lerner Associates in White Plains, New York (2010-2011). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 24, 2011; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 29, 2010; and Series 7 (General Securities Representative Examination), which he obtained on April 14, 2010. He is currently not registered with any state or firm.

According to his BrokerCheck report, Richard Minichino was recently terminated from his former employer and has received four unsatisfied judgments or liens.

Roger PricePublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 8, 2018 indicate that former North Carolina-based Next Financial Group broker Roger Price, who has received resolved or pending customer disputes, was recently discharged from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Price (CRD# 855116).

Roger Price has spent 38 years in the securities industry and was most recently registered with Next Financial Group in Matthews, North Carolina (2009-2017). Previous registrations include Morgan Keegan & Company in Charlotte, North Carolina (2000-2009); Wachovia Securities in Charlotte, North Carolina (1980-2000); and Dean Witter Reynolds (1978-1980). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on July 1, 1994; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 1, 1980; Series 5 (Interest Rate Options Examination), which he obtained on September 28, 1981; and Series 7 (General Securities Representative Examination), which he obtained on July 15, 1978. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one customer complaint and two pending customer complaints, and was recently discharged from his former employer.

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.

James Kraatz

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on January 16, 2017 indicate that Michigan-based Next Financial Group broker/adviser James Kraatz has been the subject of resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Kraatz (CRD# 2102044).

James Kraatz has spent 26 years in the securities industry and has been registered with Next Financial Group in Shelby Township, Michigan since 2008. Previous registrations include Capital Financial Services in Shelby Township, Michigan (2005-2008); Empire Financial Group, which has been expelled by FINRA, in Longwood, Florida (2003-2005); Freedom Financial in Omaha, Nebraska (2002-2003); and Thrivent Investment Management in Minneapolis, Minnesota (1990-2002). He is a registered broker and investment adviser with six US states: Colorado, Florida, Georgia, Michigan, New York, North Carolina, and South Carolina.

According to his BrokerCheck report, James Kraatz has received one customer complaint and one pending customer complaint.

Charles KulchPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on December 16, 2016 indicate that New Hampshire-based Next Financial Group broker/adviser Charles Kulch has been the subject of customer disputes. The experienced attorneys at Fitapelli Kurta are interested in speaking to investors who have complaints regarding Mr. Kulch (CRD# 2371584).

Charles Kulch has spent 22 years in the securities industry and has been registered with Next Financial Group in Nashua, New Hampshire since 2006. Previous registrations include Investors Capital Corporation in Nashua, New Hampshire. He is a registered broker and investment adviser with eighteen US states and territories.

According to his BrokerCheck report, Charles Kulch has received four customer complaints and four regulatory sanctions.

Tye WilliamsPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on October 11, 2016 indicate that former Texas-based Next Financial Group broker Tye Williams has been permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Williams (CRD# 1271046).

Tye Williams has spent thirty years in the securities industry and was most recently registered with Next Financial Group in Frisco, Texas (2008-2016). Previous registrations include First Heartland Capital in Houston, Texas; Mutual Service Corporation in Houston, Texas; Washington Square Securities in Des Moines, Iowa; and Advantage Capital Corporation in Atlanta, Georgia. He is currently not registered with any state or firm.

According to his BrokerCheck report, Tye Williams has received one FINRA sanction and one pending customer complaint.

Hugh StoutPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on September 28, 2016 indicate that Texas-based Keystone Capital Corporation broker/adviser Hugh Stout has been the subject of a customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Stout (CRD# 5658255).

Hugh Stout has spent seven years in the securities industry and has been registered with Keystone Capital Corporation in McGregor, Texas since 2013. He was previously registered with Next Financial Group in Waco, Texas (2009-2013). He is a registered broker and investment adviser in Texas.

According to his BrokerCheck report, Hugh Stout has received one customer complaint and was discharged from Next Financial Group.

Douglas Simanski Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 28, 2016 indicate that former Pennsylvania-based Next Financial Group broker Douglas Simanski has been permanently barred from acting as a broker. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Simanski (2606998).

Douglas Simanski has spent 21 years in the securities industry and was most recently registered with Next Financial Group in Altoona, Pennsylvania (1999-2016). He was previously registered with Advantage Capital Corporation in Atlanta, Georgia (1995-1999). He is currently not registered with any state or firm. Continue Reading