Securities Lawyers Blog
The law offices of Gana Weinstein LLP are currently investigating claims that Broker John Dougherty (Dougherty) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Dougherty was employed by LPL Financial LLC at the time of the activity. If you have been a victim of Dougherty’s alleged misconduct our firm may be able to assist you in recovering funds.
FINRA BrokerCheck shows a final customer complaint on December 01, 2023.
Without admitting or denying the findings, Dougherty consented to the sanction and to the entry of findings that he failed to provide information and documents requested by FINRA in connection to its examination into whether Dougherty engaged in undisclosed outside business activities and private securities transactions.