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.
Tory Duggins Barred For Failure To Appear For Testimony
According to the findings, the bar was based on Duggins' failure 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.
The findings state that Duggins did not appear and provide the requested testimony and never contacted FINRA to reschedule before any of the three scheduled testimony dates. FINRA found that Duggins' failure to provide testimony impeded FINRA's investigation into potentially serious misconduct.
Customer Complaint History On BrokerCheck
BrokerCheck shows a customer complaint against Duggins involving Avenir Financial Group, filed October 5, 2016, that resulted in an award dated June 8, 2017. The disclosure text states that Duggins was named in a customer complaint that asserted certain causes, with alleged damages of $50,000 listed in the record.
BrokerCheck also shows three customer disputes involving Vfinance Investments that were settled. A dispute filed September 14, 2012 settled on November 13, 2012 for $21,500. Another dispute filed February 13, 2012 settled on February 18, 2012, and the disclosure text describes it as involving excessive commissions, excessive trading, and unauthorized activity. A third dispute filed December 16, 2011 settled on January 23, 2012 for $9,000.
Sanction
FINRA barred Duggins from association with any FINRA member in all capacities, effective when the OHO decision became final on July 6, 2026.
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Questions About An Account Handled By Tory Duggins?
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Sources
This post summarizes public records published by FINRA, including BrokerCheck, as of September 26, 2026. Allegations in customer complaints and arbitrations are claims, not findings, and a settlement is not an admission of wrongdoing. The records may be updated or corrected after this date.
