Tag Archives: Dion R. Padilla

NEXT Financial Group Stockbroker Suspended For Misrepresentation

February 27, 2017  |   Posted by :   |   Investment and Regulatory News, Variable Annuites   |   0 Comments

Dion R. Padilla, of San Antonio, Texas, a stockbroker with Next Financial Group, Inc., was fined $10,000.00 and suspended for fifteen months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon an Office of Hearing Officers’ Order Accepting Offer of Settlement containing findings that Padilla made an unauthorized variable […]

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NEXT Financial Group Stockbroker Charged With Securities Fraud

Dion R. Padilla, of San Antonio, Texas, a stockbroker with Next Financial Group, Inc., was charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement in a Complaint alleging that that Padilla engaged in willful securities fraud and effected an unauthorized annuity purchase. Department of Enforcement v. Padilla, No. 2014040362001 (June 9, 2016). According to […]

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