Charles Doraine, Formerly of Next Financial Group, Barred by FINRA After Refusing to Provide Testimony

Doraine was being investigated by FINRA for unsuitable recommendations.

The Sonn Law Group is investigating allegations that Charles Doraine made unsuitable investment recommendations. If you or a family member has suffered losses investing, we want to discuss your case. Please contact us today for a free review of your case.

charles-doraine-refusal-to-provide-testimonyCharles Doraine (CRD#: 70411) was recently barred by FINRA after refusing to provide on-the-record testimony in connection with its investigation of his suspected unsuitable recommendations of short-term trading in mutual fund A shares, short-term trading of Puerto Rican municipal bonds, and overconcentration of customer accounts in Puerto Rican municipal bonds.

Doraine has eight other disclosures on his BrokerCheck report.

September 2019 Customer Dispute

September 2018 Customer Dispute

May 2018 Customer Dispute

May 2007 Regulatory Judgment

June 2005 Customer Dispute

August 2001 Customer Dispute

September 1989 Customer Dispute

June 1989 Customer Dispute

Contact Us Today

The Sonn Law Group is currently investigating allegations that Charles Doraine made unsuitable recommendations. We represent investors in claims against negligent brokers and brokerage firms. If you or your loved one experienced investment losses, we are here to help. For a free consultation, please call us now at 866-827-3202 or complete our contact form.