Tory A Duggins

01/21/2026: The Department of Enforcement alleges: SUMMARY 1. Respondent Tory A. Duggins, failed to provide on-the-record (“OTR”) testimony requested pursuant to FINRA Rule 8210 as a part of FINRA’s investigation into whether Duggins churned and excessively traded customer accounts. As a result, Duggins violated FINRA Rules 8210 and 2010.

06/10/2026: Respondent is barred from associating with any FINRA member firm in any capacity for failing to appear for on-the-record testimony requested in connection with a FINRA investigation, in violation of FINRA Rules 8210 and 2010.

Reference 2025084815701data-portal.finra.orgdata-portal.finra.orgfinra.org

11/10/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012034825001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Tory A. Duggins, Respondent General Securities Representative CRD No. 4556340 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Tory A. Duggins ("Duggins") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

Reference 2012034825001data-portal.finra.orgfinra.org

01/19/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018056490309 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Tory A. Duggins (Respondent) General Securities Representative CRD No. 4556340 Pursuant to FINRA Rule 9216, Respondent Tory A. Duggins submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2018056490309finra.orgdata-portal.finra.org