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    • Next Financial whacked (once again) by Finra

    December 7, 2017 by Bruce Kelly

    Next Financial Group Inc. is back in hot water with regulators and agreed on Tuesday to pay a $750,000 fine to Finra as part of settlement for a variety of violations, including the failure to catch a broker’s excessive trading and poor supervision of variable annuity sales.

    Click HERE to read the full story via InvestmentNews; registration required. 

    Originally Posted at InvestmentNews on December 7, 2017 by Bruce Kelly.

    Categories: Industry Articles
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