{"id":29932,"date":"2024-03-08T01:21:55","date_gmt":"2024-03-08T07:21:55","guid":{"rendered":"https:\/\/www.investorlawyers.com\/blog\/?p=29932"},"modified":"2024-03-10T21:39:28","modified_gmt":"2024-03-11T02:39:28","slug":"broker-misconduct-lawyers-2","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/broker-misconduct-lawyers-2\/","title":{"rendered":"Broker Misconduct Lawyers"},"content":{"rendered":"

Shepherd Smith Edwards and Kantas Broker Misconduct Lawyers Are Investigating Ex-Spartan Capital Securities Broker Tory Duggins<\/strong><\/p>\n

NY Financial Advisor Accused of Excessive Trading and Reg Best Interest Violations<\/strong><\/p>\n

Our\u00a0broker misconduct lawyers\u00a0are 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\u00a0Regulation Best Interest obligations<\/a>\u00a0after purportedly excessively trading in the accounts of customers, some of whom were elderly seniors.<\/p>\n

Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

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\u00a0broker misconduct lawyers\u00a0are looking into claims of portfolio losses by investors who worked with former Spartan Capital Securities stockbroker Tory Duggins. The New York financial advisor was […]<\/p>\n","protected":false},"author":2,"featured_media":29951,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[3762,4055],"tags":[5041],"class_list":["post-29932","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-current-investigations","category-featured-investigation","tag-broker-misconduct-lawyers"],"yoast_head":"\nBroker Misconduct Lawyers<\/title>\n<meta name=\"description\" content=\"Shepherd Smith Edwards and Kantas Broker Misconduct Lawyers Are Investigating Ex-Spartan Capital Securities Broker Tory Duggins\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.investorlawyers.com\/blog\/broker-misconduct-lawyers-2\/\" \/>\n<meta name=\"twitter:card\" 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