Advisor Alert: Our Attorneys Are Investigating Jack Aloysius Dougherty For Investment Fraud
Did You Lose Money Because of Jack Dougherty?
Filed: February 19, 2024
Jack Dougherty (also known as John Dougherty) currently has one (1) pending customer complaint. Overall, he has been the subject of one (1) regulatory event, one (1) termination event, and one (1) customer complaint. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.
Let’s begin our Patil Law Advisor Alert with a summary report on Jack Aloysius Dougherty.
Who Is Jack Aloysius Dougherty of LPL Financial LLC?
- Advisor Name: Jack Aloysius Dougherty
- Aliases: Jack Dougherty, John A Dougherty, John Aloyious Dougherty
- CRD: 3018615
- Location: Blue Bell, Pennsylvania
- Current Employer: No Longer Allowed to Practice in the Securities Industry
- Previous Firms: Wells Fargo Clearing Services, LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated
- Number of Known Customer Complaints: 1
- Number of Known Regulatory Events: 1
- Number of Known Termination Events: 1
- Can Jack Dougherty Be Sued: Yes, in Private Arbitration
- Can Jack Dougherty’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
- Highest Damages Allegation: Unknown
- Highest Settlement: Unknown
If you have suffered investment losses by Jack Dougherty, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a breach of fiduciary duty lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.
Customer Complaints Filed Against Jack Dougherty For Broker Misconduct
As of this publication date, Jack Dougherty has been the subject of 1 regulatory event, 1 termination event, and 1 customer dispute. Let’s review them below.
In December 2023, FINRA initiated a regulatory action against or in reference to Jack Dougherty for allegedly failing to provide information and documents requested by FINRA in connection to its examination into whether Dougherty engaged in undisclosed outside business activities and private securities transactions.
In July 2023, LPL Financial LLC terminated Jack Dougherty for engaging in outside business activity without Firm approval or participating in private investments without Firm approval.
In January 2023, a complaint was filed against or in reference to Jack Dougherty by a customer of Wells Fargo Clearing Services, LLC alleging that Mr. Dougherty recommended a wealth management strategy which was inappropriate for his investment objectives and risk tolerance, and that he allegedly incurred losses as a result of the strategy. As of this publication date, this claim remains pending.
How To File A Claim Against Jack Dougherty of LPL Financial LLC (previously with Wells Fargo Clearing Services, LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated) To Get Your Money Back
If you have questions about Jack Dougherty, LPL Financial LLC, Wells Fargo Clearing Services, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.