Tag Archives: Dougherty

FINRA Sanctions Dougherty Broker For Failure To Comply

March 12, 2018  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Jeffrey Alan Hill of Bemidji Minnesota is a stockbroker formerly registered with Dougherty and Company LLC whose securities registration has been revoked on March 17 2017 by Financial Industry Regulatory Authority (FINRA) based upon allegations that he failed to pay fifty thousand dollars in fines and disgorgement. Particularly, Hill was disgorged of $45,000.00, fined $5,000.00 […]

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