Brian Colin Doherty

06/15/2020: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, VS. Brian Colin Doherty Fair Haven, NJ, Respondent. DECISION Complaint No. 2015047005801 June 15, 2020 Registered representative engaged in a fraudulent, prearranged trading scheme to enable his customer, a proprietary trader at another member firm, to evade that firm’s aged-inventory policy. Held, findings affirmed and sanctions modified.

08/02/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Brian Colin Doherty (CRD No. 2647950), Respondent. DISCIPLINARY PROCEEDING NO. 20150470058-01 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Brian Colin Doherty, a Government Securities Limited Representative and Corporate Securities Representative with BGC Financial, L.P.

06/14/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. BRIAN COLIN DOHERTY (CRD No. 2647950), Respondent. Disciplinary Proceeding No. 2015047005801 Hearing Officer-CC HEARING PANEL DECISION June 14, 2019 Respondent, a registered representative at an interdealer broker, intentionally engaged in a fraudulent, prearranged trading scheme to enable his customer, the trader of a proprietary account at another member firm, to evade that firm’s aged inventory

Reference 2015047005801data-portal.finra.orgfinra.orgdata-portal.finra.orgdata-portal.finra.org