Douglas P. Simanski of Altoona Pennsylvania a stockbroker formerly employed by Next Financial Group Inc. has been barred by Securities and Exchange Commission (SEC) from being a stockbroker or investment advisor or otherwise associating with securities broker dealers or investment advisories according to an Order containing findings that Simanski engaged in securities fraud. In the […]
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Tag Archives: Douglas P. Simanski
SEC Bars Next Financial Stockbroker For Fraud
November 24, 2019 | Posted by : Guiliano Law Group | Investment and Regulatory News, Misappropriation of Funds, Securities Arbitration Claims, Securities Fraud, Stockbroker Theft | 0 Comments
Altoona Pennsylvania Stockbroker Alleged to Have Sold Fake Investments
August 04, 2016 | Posted by : Guiliano Law Group | Failure To Supervise, Investment and Regulatory News, Misappropriation of Funds, Selling Away and Outside Activities, Stockbroker Theft | 0 Comments
The Guiliano Law Group, P.C. has filed a securities arbitration claim before the Financial Industry Regulatory Authority or FINRA, against Next Financial Group, Inc., in connection with the sale of unregistered securities, by its former registered representative, Douglas P. Simanski in violation of the federal securities laws and the Pennsylvania Securities Act of 1972, and […]
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