Publicly 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.