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Kathryn Frank Of Next Financial Group, Inc. And Formerly With Northwestern Mutual Investment Services, LLC Has A Customer Complaint For Alleged Broker Misconduct

Who is Kathryn Frank of Next Financial Group, Inc.?

Kathryn Frank

Kathryn Frank (CRD #4738039) who is currently registered as a broker and investment adviser with Next Financial Group, Inc. and located in Houston, Texas, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Next Financial Group, Inc, Kathryn Frank was associated with Northwestern Mutual Investment Services, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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Kathryn Frank Customer Complaint

Kathryn Frank has been the subject of at least one customer complaint that we know about seeking to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were the stockbroker instructed investment adviser to sell securities to increase cash on hand without consulting with customer and that investment advisory fees charged exceeded the amount that was reasonable for the services provided. Next Financial Group recently denied the customer complaint and thus far no further action has been taken.

Kathryn Frank Red Flags & Your Rights As An Investor

Of course, Kathryn Frank did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Kathryn Frank at Next Financial Group, Inc and Northwestern Mutual Investment Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Kathryn Frank has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Next Financial Group, Inc and Northwestern Mutual Investment Services, LLC also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

Did You Lose Money Because of Broker Misconduct?

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If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.

Need Legal Help? Let’s talk.

or, give us a ring at 561-338-0037.

File A Claim To Recover Your Investment Losses At Next Financial Group, Inc Due To Kathryn Frank

If you have questions about Next Financial Group, Inc, Northwestern Mutual Investment Services, LLC and/or Kathryn Frank and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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