Securities Fraud and Mismanagement

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Next Financial

NEXT Financial Excessive Trading

by | Sep 16, 2021 | Uncategorized

On July 13, 2021, NEXT Financial entered into a regulatory settlement for excessive trading.   In the settlement,  the regulator censured, fined $750,000 and required NEXT to certify that it has implemented supervisory systems and procedures reasonably designed to...

Douglas Simanski Fraud

by | Nov 9, 2018 | Uncategorized

Investors of Douglas Simanski should call 303-300-5022 for a free and confidential consultation with a private attorney. Federal regulators allege that Douglas Simanski raised more than $3.9 million from approximately 27 of his brokerage customers and investment...