Tag Archives: Jeffrey A. Hill

FINRA Nails Supervisor For Ignoring Misconduct Of Top Producer

Jeffrey Duane Jacobson of Minneapolis Minnesota a stockbroker formerly employed by Dougherty Company LLC has been fined $7,500.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Jacobson failed to supervise a registered representative that executed unsuitable investment transactions in a customer’s investment […]

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Doughery Co Stockbroker Suspended For Unauthorized Trading

December 07, 2016  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Jeffrey A. Hill, of Bemidji, Minnesota, a stockbroker formerly associated with Dougherty Company LLC, was fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity after consenting to findings that he utilized unauthorized discretion in customer accounts, and made unsuitable investment recommendations to customers. Letter of Acceptance, Waiver […]

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