TORY A DUGGINS was barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm. The last firm Duggins was registered with was SPARTAN CAPITAL SECURITIES, LLC, of New York, New York from 02/29/2016 - 01/31/2024.
According to the FINRA report dated 1/21/2026, TORY A DUGGINS was named a respondent in a FINRA complaint alleging that he failed to provide on-the-record testimony requested by FINRA as a part of its investigation into whether Duggins churned and excessively traded customer accounts.
The FINRA complaint alleges that TORY A DUGGINS initially cooperated with the FINRA investigation, producing documents including financial statements in response to a request from FINRA. However, according to the FINRA report, Duggins did not appear for testimony in three instances, nor did he contact FINRA to reschedule his testimony. The testimony requested of TORY A DUGGINS was material to FINRA's investigation and his alleged refusal to appear for testimony impeded its investigation into his alleged misconduct.
According to FINRA’s BrokerCheck, available on FINRA’s website, TORY A DUGGINS was in the securities industry for 19 years and listed with 10 firms. Duggins has 14 disclosures on his FINRA CRD report. Four of the disclosures are “Customer Disputes,” four are “Regulatory” disclosures, including the disclosure barring Duggins from the industry, and six are “Judgement/Lien” disclosures. Of the four “Customer Disputes,” three have settled and one was closed with no action.
The “Customer Dispute” filed against TORY A DUGGINS dated 10/5/2016 alleged, “Unauthorized trading; improper use of margin.” The damages awarded were $26,127.00. Duggins denies the allegations.
The dispute filed against Duggins dated 9/14/2012 alleges, “UNAUTHORIZED TRADING” and was settled for $21,500.00.
There is a settled dispute filed against TORY A DUGGINS dated 12/16/2011, that alleged, “EXCESSIVE COMMISSIONS” and settled for $9,000.00.
Soreide Law Group posted the following article to our blog in February of 2024:
Tory Duggins Suspended By FINRA For Excessive Trading At Spartan Capital - Securities Lawyer
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TORY A DUGGINS was barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm. The last firm Duggins was registered with was SPARTAN CAPITAL SECURITIES, LLC, of New York, New York from 02/29/2016 - 01/31/2024. According to the FINRA report dated 1/21/2026, TORY A DUGGINS was named a respondent in […]
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