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Written by 5:23 pm Blog, Broker Investigations, FINRA SEC Sanctions

Douglas Simanski Barred from Securities Industry

According to FINRA, Douglas P. Simanski (CRD #2606998, Lilly, Pennsylvania) submitted an AWC in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Simanski consented to the sanction and to the entry of findings that he allegedly failed to provide FINRA with documents and information related to an investigation into allegations of conversion of funds.

For FINRA’s full findings see FINRA Case #2016049621301.

According to FINRA’s BrokerCheck, Simanski was registered with Next Financial Group, Inc in Altoona, PA from 08/1999 – 06/2016.

The foregoing information, which is all publicly available on FINRA’s website, is being provided by The White Law Group.  The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee.  For more information on the firm and it’s representation of investors, visit https://whitesecuritieslaw.com.

For a free consultation with a securities attorney, please call the firm at 1-888-637-5510.

Tags: Last modified: August 18, 2023