Business ProfileforJTA Farm Enterprises LLC
Current Alerts For This Business
The following describes a government action that has been resolved by either a settlement or a decision by a court or administrative agency. If the matter is being appealed, it will be noted below.
On August 12, 2019, Christopher D Dougherty, JTA Farm Enterprises LLC, Dba JTA Cattle and Hay Broker Services, entered into an Order Entering Judgment with the Securities and Exchange Commission. The Order settles allegations that the business misused investor funds in a Ponzi scheme and provided false account statements to clients in connection with the purchase or sale of a security. Under terms of the order, Christopher D. Dougherty is permanently restrained and enjoined from directly or indirectly offering or selling any security, and is permanently restrained from directly or indirectly acting as an investment adviser.
This action is final.
Additional business information
The following describes a pending government action that has been formally brought by a government agency but has not yet been resolved. We are providing a summary of the governments allegations, which have not yet been proven.
On April 21, 2020, The California Department of Business Oversight filed an Accusation against Christopher Dougherty. Charges filed allege Christopher Dougherty is in violation of state law prohibiting failing to produce all books and records of C & N Wealth Management and submitting them to a regulatory agency. Christopher Dougherty was criminally charged with felonies relating to his operation of C & N Wealth Management, including grand theft and making misrepresentations and omissions in the offer of securities.
The matter is pending.
At-a-glance
Related Categories
Business Details
- Location of This Business
- 2445 Morena Blvd Ste 204, San Diego, CA 92110
- BBB File Opened:
- 4/24/2020
- Years in Business:
- 16
- Business Started:
- 10/6/2008
- Type of Entity:
- Sole Proprietorship
- Alternate Business Name
- JTA Cattle and Hay Broker
- Related Businesses
- Business Management
- Mr. Christopher Dougherty, CEO
- Contact Information
Principal
- Mr. Christopher Dougherty, CEO
Customer Contact
- Mr. Christopher Dougherty, CEO
Customer Complaints
0 Customer Complaints
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