There are options for clients of LPL Enterprise, LLC broker Francis Dougherty (CRD# 4821828) who suffered investment losses. He has been registered with LPL Enterprise, LLC in Holmdel, New Jersey, since 2024. He was registered with Pruco Securities, LLC in Marlton, New Jersey, from 2022 to 2024, Prudential Financial Planning Services in Marlton, New Jersey, from 2022 to 2024, BCG Securities, Inc. in Cherry Hill, New Jersey, from 2019 to 2022, and Voya Financial Advisors, Inc. in Cherry Hill, New Jersey, from 2015 to 2019.
Francis Dougherty Customer Complaints
He has been the subject of two customer complaints between 2020 and 2026, according to his CRD report:
February 2026. “The client alleges the advisor, without permission, opened three insurance policies in her and her husband’s names.” The case is currently pending. The complaint took place while he was registered with LPL Enterprise, LLC.
December 2020. “Customer alleges unsuitable investment recommendations from sales in 2015.” The customer sought $1,000,000 in damages, and the case was settled for $140,000. The complaint was regarding alternative investments, and it took place while he was registered with LPL Financial LLC
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, LPL Enterprise, LLC may be liable for investment or other losses suffered by Francis Dougherty’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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