Finra bars former Next rep over incomplete information
Regulator was investigating JoeAnn Walker's sales of variable annuities.
The Financial Industry Regulatory Authority Inc. has barred former Next Financial broker JoeAnn Walker for not producing the complete documentation it had requested in connection with an inquiry.
Ms. Walker was terminated by Next Financial in October and is not currently associated with a securities firm.
Finra was inquiring into possible unsuitable sales of variable annuities by Ms. Walker. Although her response to Finra’s request included some documents, the response was incomplete, and her attorney said that she would not provide any additional documents at any time.
Ms. Walker began her securities career in 1992. After stints with two firms, she joined Commonwealth Financial Network in 1998 and then LPL Financial in 2006. She affiliated with NEXT Financial in 2015.
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