Securities Fraud and Mismanagement

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Iowa

Dougherty & Company Investment Losses

by | 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 Dougherty...

Losses at LPL Financial

by | May 6, 2015 | Uncategorized

LPL is the focus of regulatory actions. In April 2025, LPL’s clients suffered a trading outage during an active trading session.  For hours, customers could not access accounts during steep market drops. The lack of access on the part of LPL’s...