Tag Archives: Charles Lawrence Doraine

FINRA Bars NEXT Financial Stockbroker In Investigation

May 12, 2020  |   Posted by :   |   Securities Arbitration Claims, Unsuitable Investment Recommendations   |   Comments Off on FINRA Bars NEXT Financial Stockbroker In Investigation

Charles Lawrence Doraine of Corpus Christi Texas a stockbroker formerly registered with NEXT Financial Group Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Doraine neglected to cooperate with the regulator during the course of an investigation into his allegedly unsuitable investment advice. […]

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Next Financial Sued By Investors For Bad Mutual Fund Trades

Charles Lawrence Doraine of Corpus Christi Texas a stockbroker formerly registered with Next Financial Group Inc. is referenced in a customer initiated investment related arbitration claim in which the customer sought $500,000.00 in damages founded on accusations that between 2012 to 2018: (1) the customer’s diminished capacity had been exploited by the stockbroker (2) mutual […]

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Customer Sues Next Financial For Mutual Fund Fraud

July 31, 2018  |   Posted by :   |   Investment and Regulatory News, Mutual Fund Fraud   |   0 Comments

Charles Lawrence Doraine of Corpus Christi, Texas, a stockbroker currently registered with Next Financial Group, Inc., is referenced in a customer initiated investment related arbitration claim where the customer sought $2,500,000.00 in damages founded on allegations that between 2012 and 2017, Doraine engaged in a pattern of in-and-out trading with respect to the customer’s mutual […]

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