Andrew Dougherty – Financial Advisor/Broker Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Andrew Dougherty a/k/a Andrew Robert Dougherty CRD #6348064
Andrew Dougherty a/k/a Andrew Robert Dougherty is a previously licensed financial advisor with Voya Financial Advisors, Inc., and Northwestern Mutual Investment Services.
According to FINRA, Andrew Dougherty was fined $5,000 and suspended from the securities industry for six months in January 2021.
According to FINRA Allegations:
Dougherty consented to the sanctions and to the entry of findings that he altered a mutual fund switch disclosure form after it had been signed by his member firm customer. The findings stated that Dougherty did so by adding the potential disadvantages associated with a completed mutual fund switch transaction and then writing the customer’s initials next to the changes. When Dougherty’s supervisor requested confirmation that the customer had reviewed and initialed the amended form, Dougherty contacted the customer and asked him to send an email confirming the changes. Dougherty then altered the email that he received from his customer so that it appeared to have been sent before he falsified the mutual fund switch disclosure form and submitted it to the firm for processing. The firm identified Dougherty’s falsifications when his customer called and complained later the same day.
Goodman & Nekvasil, P.A. May Recover Investor Losses:
If you lost money on investments with Andrew Dougherty and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action concerning Andrew Dougherty’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $200 million on behalf of victimized investors. If you lost money on investments with Andrew Dougherty and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
Some of the information in this blog post was obtained on 10/6/2021 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.