RedFlag, Allegation and/or Complaint against SEAN PATRICK DOUGHERTY
Disclosure #1 for SEAN DOUGHERTY
- Event Date: 10/19/2013
- Disclosure Type: Financial
- Resolution: Final
- Type: Compromise
- Disposition: SETTLED
- Broker Comment: I HAD TO CREDIT CARDS WITH CAPITAL ONE AND THEY WERE CHARGED OFF. I OWED $1043.00 AND SETTLED WITH CAPITAL ONE FOR $783.25. THE DIFFERENCE OF $259.75 WAS FORGIVEN BY CAPITAL ONE.
Should I file a FINRA complaint against brokers like SEAN PATRICK DOUGHERTY?
Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.
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Originally reported on November 17, 2022 @ 9:00 pm