Tory A. Duggins

(CRD #4556340, Bronx, New York)

July 6, 2026 – An Office of Hearing Officers (OHO) decision became final in which Duggins was barred from association with any FINRA member in all capacities. The sanction was based on the findings that Duggins failed to appear for on-the-record testimony requested by FINRA in connection with an investigation into his potential churning and excessive trading at his member firm.

The findings stated that Duggins initially cooperated with FINRA’s investigation by responding to requests for documents and information. FINRA then asked Duggins to appear and provide on-the-record testimony in connection with its investigation. However, Duggins did not appear and provide the requested testimony and never contacted FINRA to reschedule before any of the three scheduled testimony dates. Duggins’ failure to provide testimony impeded FINRA’s investigation into potentially serious misconduct. (FINRA Case #2025084815701)

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.