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Dougherty Summit Securities LLC n.k.a. Dougherty & Company, LLC

Dougherty Summit Securities LLC n.k.a. Dougherty & Company, LLC (CRD #7477, Minneapolis, Minnesota) received a censure and fine of $23,000. According to the findings, the firm commenced best efforts offerings of shares of common stock using private placement memoranda which failed to include statements that the firm, and/or persons associated with the firm, would be purchasing a portion of the offerings. Additionally, the firm failed to file, or to file in a timely manner, appropriate documents with the MSRB in connection with municipal offerings. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #C04000006)

Did Dougherty Summit Securities LLC n.k.a. Dougherty & Company, LLC manage your investments?

 

 

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