FINRA Commenced Disciplinary Proceedings Against Daniel O’Neill for Churning

FINRA Commenced Disciplinary Proceedings Against Daniel O’Neill for Churning

Kevin J. Deloatch, Esq.2026-08-05T12:07:32-05:00July 31st, 2021|Securities Law, Churning, FINRA - Broker Actions, Fraud, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that the FINRA Department of Enforcement recently commenced disciplinary proceedings against broker, Daniel O’Neill [...]

NEXT Financial Group, Inc. Sanctioned by FINRA for Failure to Supervise Mutual Funds and Municipal Bonds

NEXT Financial Group, Inc. Sanctioned by FINRA for Failure to Supervise Mutual Funds and Municipal Bonds

Kevin J. Deloatch, Esq.2026-08-05T12:08:21-05:00July 18th, 2021|Securities Law, Improper Mutual Fund Sales Practices, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, NEXT Financial Group, Inc. (CRD # 46214) was recently sanctioned by FINRA’s Department [...]