Violation Tracker Individual Record

Company: 
NEXT FINANCIAL GROUP, INC.
Current Parent Company: 
Atria Wealth Solutions
Penalty: 
$18,000
Year: 
2015
Date: 
November 23, 2015
Offense Group: 
financial offenses
Primary Offense: 
investor protection violation
Level of Government: 
state
Action Type: 
agency action
Agency: 
Virginia Division of Securities
Civil or Criminal Case: 
civil
Case ID: 
SEC-2015-00011
Facility State: 
Virginia
HQ Country of Parent: 
USA
HQ State of Parent: 
New York
Ownership Structure of Parent: 
privately held
Major Industry of Parent: 
financial services
Specific Industry of Parent: 
investment advisory services
Source Notes: 
If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Parent company note: 
Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.