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Dougherty & Company LLC

Regulator action

United States. Named in 5 sanctions listings.

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Sanctions and listings5

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    10/14/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20170532065-01 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Dougherty & Company LLC, Respondent Member Firm CRD No. 7477 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Dougherty & Company LLC (“Dougherty” or the “firm") submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2017053206501finra.orgdata-portal.finra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    07/10/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20050001341-01 TO: Department of Market Regulation NASD RE: Dougherty & Company LLC, Respondent, Broker-Dealer CRD No. 7477 Pursuant to Rule 9216 of the NASD Code of Procedure, Dougherty & Company LLC ("DOTC" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring

    07/10/2007: .42 ?? ? . , 0. I. 44#.91 0 NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20050001341-01 OGPGGGer TO: Department ofMarket Regulation NASD RE: Dougherty & Company LLC, Respondent, Broker-Dealer CRD No. 7477 Pursuant to Rule 9216 ofthe NASD Code of Procedure, Dougherty & Company LLC ("DOTC" or the "firm") submits this Letter ofAcceptance, Waiver and Consent (?AWC") for the purpose ofproposing a settlement ofthe alleged rule violations described in Part II below. This AWC is submitted on the condit

    Reference 2005000134101data-portal.finra.orgdata-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    11/28/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2015047008701 TO: Department ot Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Dougherty & Company LLC, Respondent ("Dougherty") CRD No. 7477 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Dougherty submits this Letter of Acceptance, Waiver, and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that,

    Reference 2015047008701data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    06/08/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014039171201 TO: Department of Enforcement Financial lndustry Regulatory Authority ("FINRA") RE: Dougherty & Company LLC, Respondent Member Firm CRD No. 7477 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Dougherty & Company LLC (the "Firm" or "Dougherty") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference 2014039171201finra.orgdata-portal.finra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    10/29/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE NO. 2006006276101 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Dougherty & Company LCC, Respondent Broker-Dealer CRD No. 7477 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Dougherty & Company LLC, (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

    Reference 2006006276101data-portal.finra.orgfinra.org

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