Tory A. Duggins (CRD #4556340, Bronx, New York) was barred from association with any FINRA member in all capacities, according to FINRA's Disciplinary and Other FINRA Actions report for September 2026. An Office of Hearing Officers decision became final on July 6, 2026. FINRA Case #2025084815701 is the case number listed for the matter.

FINRA barred Taspia Rahman (CRD #7757705), a Brooklyn, New York broker, from association with any FINRA member in all capacities. The bar is recorded in an AWC dated July 24, 2026, and it covers every capacity in which Rahman could otherwise register with FINRA. FINRA's report lists Brooklyn, New York as Rahman's location and CRD #7757705 as her registration number.

FINRA barred Elias Gerodemos (CRD #7510054), a Crown Point, Indiana broker, from association with any FINRA member in all capacities. The bar is recorded in an AWC dated July 30, 2026, and it covers every capacity in which Gerodemos could otherwise register with FINRA. FINRA's report lists Crown Point, Indiana as Gerodemos' location and CRD #7510054 as his registration number.

Investors apparently complained about securities broker Michael Edwin Magruder [CRD: 4579211, Orlando, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Magruder worked for Merrill Lynch from August 21, 2015, to July 2, 2021, and Raymond James from July 1, 2021, to August 2, 2024. Keep reading to learn more about Magruder’s disclosures. […]

Investors potentially incurred losses because of securities broker Tory Duggins [CRD: 4556340, New York, New York], and FINRA barred him, given the public information found on FINRA BrokerCheck. Duggins worked for Spartan Capital Securities LLC from February 29, 2016, to January 31, 2024. See below to find out more about Duggins’s disclosures. FINRA Sanctioned Duggins […]

Financial Industry Regulatory Authority (FINRA) barred securities broker Brian James Pavelko [CRD: 6347352, Milpitas, California], according to information disclosed through BrokerCheck. Pavelko worked for SW Financial from September 20, 2018, to March 3, 2022, and NI Advisors from March 13, 2022, to December 23, 2025. Investors are encouraged to continue reading to learn more about […]

Investors might have sustained losses due to securities broker James Fredrick Tighe [CRD: 3129233, Phoenix, Arizona], and Financial Industry Regulatory Authority barred him, based on public information on BrokerCheck. Tighe was associated with Morgan Stanley from June 1, 2009, through January 14, 2025. Continue reading to find out more about Tighe’s regulatory and client dispute […]

Investors potentially experienced sales practice violations by securities broker Sung Moo Cho (also known as Sam Cho) [CRD: 5015906, New York, New York], and FINRA barred him, given the public information found on FINRA BrokerCheck. Cho was associated with Ameriprise Financial Services from January 22, 2021, to October 21, 2025, and Citigroup Global Markets from […]

Investors potentially incurred losses because of securities broker Raymond Trey Brown [CRD: 6170291, Frisco, Texas], and FINRA sanctioned him, according to disclosures on FINRA BrokerCheck. Brown worked for Northwestern Mutual Investment Services LLC, from March 17, 2014, to December 13, 2024. See below to learn more about Brown’s disclosures. FINRA Sanctioned Raymond Brown For Failure […]