Tory A. Duggins

The Schwartz Law Firm is reviewing the FINRA bar of Tory A. Duggins (CRD #4556340) of Bronx, New York.

On July 6, 2026, an Office of Hearing Officers decision became final barring Duggins from association with any FINRA member in all capacities. The bar is based on findings that he failed to appear for on-the-record testimony. FINRA had requested that testimony in an investigation of potential churning and excessive trading at his member firm. Duggins first responded to requests for documents and information, then did not appear on any of three scheduled testimony dates and did not contact FINRA to reschedule.

The published decision does not find that Duggins churned customer accounts. It finds that his failure to testify impeded that investigation.

FINRA Case #2025084815701.

Source: FINRA, Disciplinary and Other FINRA Actions, September 2026, page 6.

If you have suffered losses as a result of Tory A. Duggins's act and/or actions, we would like to hear from you. We are currently investigating claims on behalf of clients who have suffered significant losses in their portfolios that are managed by Tory A. Duggins. The Schwartz Law Firm represents investors in claims against financial advisors and their firms. If you have questions about your potential claim or need assistance from an investment fraud lawyer, please contact us at 866-330-6707 or email Matthew Schwartz directly at mschwartz@tslfirm.com.