Michael Timothy Dolan, of Minneapolis, Minnesota, a stockbroker formerly registered with Doughtery Dawkins LLC, has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to an Office of Hearing Officers’ Hearing Panel Decision containing findings that Dolan sold away from his firm. Letter of Acceptance, […]
Read More »
Tag Archives: Michael Timothy Dolan
Doughtery Dawkins Broker Suspended For Selling Away
December 23, 2017 | Posted by : Guiliano Law Group | Investment and Regulatory News, Selling Away and Outside Activities | Comments Off on Doughtery Dawkins Broker Suspended For Selling Away
Dougherty Company Stockbroker Charged With Selling Away
December 24, 2016 | Posted by : Guiliano Law Group | Alternative Investments, Hedge Funds, Investment and Regulatory News | Comments Off on Dougherty Company Stockbroker Charged With Selling Away
Michael Timothy Dolan, of Minneapolis, Minnesota, a stockbroker currently registered with Dougherty & Company LLC, was charged by Financial Industry Regulatory Authority Department of Enforcement in a Complaint alleging that Dolan effected unauthorized private securities transactions. Department of Enforcement v. Dolan, No. 2013039306601 (Dec. 14, 2016). According to the Complaint, from October of 2010 to October […]
Read More »