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Broker Misconduct Lawyers
Shepherd Smith Edwards and Kantas Broker Misconduct Lawyers Are Investigating Ex-Spartan Capital Securities Broker Tory Duggins
NY Financial Advisor Accused of Excessive Trading and Reg Best Interest Violations
Our broker misconduct lawyers are looking into claims of portfolio losses by investors who worked with former Spartan Capital Securities stockbroker Tory Duggins. The New York financial advisor was suspended for 18 months by the Financial Industry Regulatory Authority (FINRA) in January 2024 following allegations that he willfully violated Regulation Best Interest obligations after purportedly excessively trading in the accounts of customers, some of whom were elderly seniors.