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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Tag Archives: Charles Lawrence Doraine
FINRA Bars NEXT Financial Stockbroker In Investigation
May 12, 2020 | Posted by : Guiliano Law Group | Securities Arbitration Claims, Unsuitable Investment Recommendations | Comments Off on FINRA Bars NEXT Financial Stockbroker In Investigation
Next Financial Sued By Investors For Bad Mutual Fund Trades
December 13, 2019 | Posted by : Guiliano Law Group | Elder Financial Abuse, Investment and Regulatory News, Mutual Fund Fraud, Securities Arbitration Claims, Unsuitable Investment Recommendations, Variable Annuites | 0 Comments
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 […]
Read More »Customer Sues Next Financial For Mutual Fund Fraud
July 31, 2018 | Posted by : Guiliano Law Group | 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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