Next Financial Sued By Customer For Omissions

Gautam B. Bose of Bethesda Maryland is a stockbroker formerly registered with Next Financial Group Inc. who is the subject of a customer initiated investment related arbitraton claim that settled for $44,000.00 in damages supported by allegations that Bose omitted information concerning the risks and features of a variable annuity and real estate investment trust investment that the customer purchased. Financial Industry Regulatory Authority (FINRA) Arbitration No. 16-03353 (Sept. 27, 2017).

FINRA Public Disclosure confirms that on January 10, 2000, another customer filed an investment related written complaint involving Bose’s conduct where the customer requested $9,450.30 in damages based upon accusations that a mutual fund position had been sold without the customer’s consent while Bose was associated with Salomon Smith Barney.

Bose’s registration with Next Financial Group, Inc. was terminated on December 18, 2015. Since December 16, 2015, Bose has been registered with Ameriprise Financial Services, Inc.

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