Charles Doller III Sanctioned by Securities Regulators for Allegedly Failing to Supervise Mark Gillis

Charles William Doller III was fined and suspended from the securities industry by the Financial Industry Regulatory Authority (“FINRA”) in connection with claims that Doller failed to supervise Mark Gillis, the CEO, CCO, FINOP, and registered representative at Hudson Valley Capital Management, a New York based broker-dealer firm. Doller, the president and co-owner of Hudson… Read more »