Tag Archives: Brian Colin Doherty

FINRA Suspends BGC Stockbroker For Fraudulent Trading Scheme

June 28, 2019  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Brian Colin Doherty of New York New York a stockbroker formerly registered with BGC Financial L.P. has been suspended for two years from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to a FINRA Office of Hearing Officers Hearing Panel Decision containing findings that Doherty engaged in a fraudulent trading […]

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BGC Securities Broker Charged By FINRA With Fraud

August 13, 2018  |   Posted by :   |   Investment and Regulatory News, Securities Fraud   |   0 Comments

Brian Colin Doherty of New York New York a stockbroker formerly employed by BGC Securities has been charged by Financial Industry Regulatory Authority (FINRA) in a Complaint alleging that Doherty engaged in a fraudulent investment scheme. Department of Enforcement v. Brian Colin Doherty Disciplinary Proceeding No. 20150470058-01 (Aug. 2, 2018). According to the Complaint, between […]

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