Violation Tracker Parent Company Summary

Parent Company Name: 
Atria Wealth Solutions
Ownership Structure: 
privately held
Headquartered in: 
New York
Major Industry: 
investment advisory services
Specific Industry: 
financial services
Penalty total since 2000: 
$3,727,455
Number of records: 
15
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$3,727,45515
Top 5 Primary Offense TypesPenalty TotalNumber of Records
investor protection violation$3,727,45515
Notes: 

Parent-subsidiary linkages are based on relationships current as of the latest revision listed in the Update Log, which may vary from what was the case when a violation occurred. The penalty totals are adjusted to account for the fact that the individual entries below may include both agency records and settlement announcements for the same case; or else a penalty covering multiple locations may be listed in the individual records for each of the facilities. The totals are also adjusted to reflect cases in which federal and state or local agencies cooperated and issued separate announcements of the outcome. Duplicate or overlapping penalty amounts are marked with an asterisk in the list below.

Associated Names: 

Cadaret, Grant & Co., Inc.; CUSO Financial Services, L.P.; Next Financial Group, Inc.; Sorrento Pacific Financial, LLC


Individual Penalty Records:

Click on the company or penalty amount for more information on each case.
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Company Primary Offense Type Year Agency Penalty Amountsort icon
Next Financial Group, Inc. investor protection violation 2019 SEC $1,405,349
Next Financial Group, Inc. investor protection violation 2020 TX-SEC $600,000
Cadaret, Grant & Co. Inc. investor protection violation 2018 SEC $513,194
NEXT Financial Group, Inc investor protection violation 2019 NH-BSR $325,000
CUSO Financial Services, L.P. investor protection violation 2019 SEC $296,750
Next Financial Group, Inc. investor protection violation 2019 MA-SEC $150,000
NEXT Financial Group, Inc investor protection violation 2014 NH-BSR $140,000
Cadaret Grant & Co. Inc. investor protection violation 2019 PA-BKG $90,000
Next Financial Group, Inc. investor protection violation 2012 AL-SEC $60,000
NEXT FINANCIAL GROUP, INC. investor protection violation 2017 VA-SEC $60,000
Sorrento Pacific Financial, LLC investor protection violation 2019 SEC $49,162
NEXT FINANCIAL GROUP, INC. investor protection violation 2015 VA-SEC $18,000
Cadaret, Grant & Co., Inc. investor protection violation 2008 NE-DBF $10,000
NEXT Financial Group, Inc. investor protection violation 2010 MT-SEC $5,000
Next Financial Group, Inc. investor protection violation 2020 VA-SEC $5,000
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