Next Financial Group Archives - Marquardt Law Office

Next Financial Group

Douglas Simanski Was Fired by Next Financial for Alleged Theft and Later Named in 23 Customer Claims

Adam J. Marquardt March 15, 2018

Investors may still be able to recover their losses suffered while investing with Douglas Simanski, the former Next Financial Group broker who was fired in May 2016 for allegedly stealing from one of his clients. According to public records, from June 2016 through September 2017, his former clients filed twenty-one claims against him and /

JoeAnn Walker (JoAnne Mitchell), Former Next Financial and LPL Financial Broker, Barred by FINRA from Associating with Securities Firms

Adam J. Marquardt March 14, 2018

On March 13, 2018, FINRA barred JoeAnn Walker from associating with any FINRA member firms as of December 12, 2017. FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates stock brokers and brokerage firms. FINRA stated in a Letter of Acceptance, Waiver and Consent (“AWC”) that JoeAnn Walker was barred for allegedly failing to produce

Investment Misconduct Blog