Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Francis Dougherty (Dougherty), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dougherty recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $1,000,000.00 on November 20, 2020.
Customer alleges unsuitable alternative investment recommendations. Activity period: 7/15/15 to 11/20/20.