by Jeff Pederson | Jan 18, 2017 | Uncategorized
The Financial Industry Regulatory Authority (FINRA) announced in January 2017 that it resolved a regulatory action against Dougherty & Company LLC, headquartered in Minneapolis, Minnesota. We believe that this action exposed supervisory problems within...
by Jeff Pederson | May 6, 2015 | Uncategorized
If you have lost money with LPL you may be entitled to recovery of some or all of your losses. Please call 1-844-253-5858 toll-free to speak to a lawyer for more information. In May 2016, LPL broker Brian David Smit of Sioux Falls, South Dakota was barred from the...
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