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Edward W Dougherty, Jr.
Edward W Dougherty, Jr.
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Bar #338990(FL)     License for 43 years; Member in Good Standing
Tallahassee FL

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94-000562  DEPARTMENT OF INSURANCE AND TREASURER vs ARNOLD IRWIN SKOLLER  (1994)
Division of Administrative Hearings, Florida Filed: Feb. 01, 1994
The issue presented is whether Respondent is guilty of the allegations contained in the Amended Administrative Complaint filed against him, and, if so, what disciplinary action should be taken against him, if any.Surplus lines agent personally liable for premium tax he failed to collect on inspection fees and fined for accepting blank due diligence affidavit.
91-006912  POWELL AND SATTERFIELD, INC., AND MICHAEL TOGNETTI vs DEPARTMENT OF BANKING AND FINANCE, DEPARTMENT OF REVENUE, AND DEPARTMENT OF LOTTERY  (1991)
Division of Administrative Hearings, Florida Filed: Oct. 29, 1991
Whether or not Petitioners are entitled to license/registration due to Respondent agency's failure to grant or deny the application within 90 days. Whether or not Powell and Satterfield Inc.'s application for registration as a broker/dealer and Trognetti's application for associated person/principal for Powell & Satterfield, Inc., should be granted.No entitlement to ""Deemer"" license; disciplinary history is prima facie un- worthiness to transact securities business;Prima Facie unworthiness overcome
91-000704  DEPARTMENT OF BANKING AND FINANCE vs ERIC PEPPER  (1991)
Division of Administrative Hearings, Florida Filed: Jan. 31, 1991
An Administrative Complaint and Cease and Desist Order was filed by the Department of Banking and Finance on March 29, 1990, against the Respondent and thirty-one other persons, alleging various violations of Chapter 517, Florida Statutes (the "Florida Securities and Investor Protection Act"). The only allegation of wrongdoing by Eric Pepper is that he offered or sold an unregistered security in violation of Section 517.07, Florida Statutes. The issues for disposition are whether that violation was committed and if so, what discipline should be imposed. The facts are substantially uncontroverted. Respondent opposes the penalty offered by Petitioner as inappropriate.Repondent sold securities prior to their registration. Suspended 1 year, plus $315 fine, the amount he made on commission
90-006606  ROBERT C. PERLMAN vs OFFICE OF COMPTROLLER, DIVISION OF SECURITIES  (1990)
Division of Administrative Hearings, Florida Filed: Oct. 17, 1990
Whether or not Petitioner's application for registration as an associated person of First Gateway Securities, Inc. should be approved.Whether Petitioner's application for registration as an associated person should be approved.
90-005880  LAWRENCE A. GROLEMUND vs DEPARTMENT OF BANKING AND FINANCE  (1990)
Division of Administrative Hearings, Florida Filed: Sep. 19, 1990
The issue in this case is whether the Respondent, the Department of Banking and Finance, should grant the application of the Petitioner, Lawrence A. Grolemund, for registration as an associated person with Advest, Inc.Petitioner applied to register as association person with securities dealer. Petitioner proved good repute and character despite prima facie evid. of NASD censure and fine
89-004927  RICHARD B. GRAIBUS vs DEPARTMENT OF BANKING AND FINANCE  (1989)
Division of Administrative Hearings, Florida Filed: Sep. 06, 1989
The issue for consideration in this case is whether Petitioner should be granted registration as an associated person by the Department of Banking and Finance, or whether his application should be denied because of alleged misconduct outlined in the letter of denial.Prior history of misconduct in securities industry is offset by at least 7 years of good conduct in industry and does not support denial of registration.
87-002289  LEXINGTON CAPTAL MANAGEMENT, INC., AND JOHN B. WAYMIRE vs. DEPARTMENT OF BANKING AND FINANCE  (1987)
Division of Administrative Hearings, Florida Latest Update: Feb. 16, 1988
Whether the application of Lexington for registration as an investment adviser and the application for registration of John B. Waymire should be approved?Petitioners failed to prove entitlement to investment advisor license. Deny waiver of net capital requirement.
87-004912BID  AUDIO LABS, INC. vs. DEPARTMENT OF GENERAL SERVICES  (1987)
Division of Administrative Hearings, Florida Latest Update: Jan. 05, 1988
The central issue in this case is whether Petitioner should be awarded Bid No. 432-730-310-W for configurations 1, 2, and 3, Service Area 1.No bidder had unfair advantage over another agency may in its discretion waive minor irregularities therefore Petition should be dismissed.

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