2018056490309 Tory A. Duggins CRD 4556340 AWC vr (2024-1708302002625).pdf
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.
2022076767001 Lucas R. Hales CRD 6258497 AWC vr (2024-1708215597802).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022076767001
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Lucas R. Hales (Respondent)
Former Operations Professional and General Securities Representative
CRD No. 6258497
Pursuant to FINRA Rule 9216, Respondent Lucas R. Hales submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2019063365401 RCX Capital Group, LLC CRD 114290 AWC gg (2024-1708129199476).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2019063365401
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: RCX Capital Group, LLC (Respondent)
Member Firm
CRD No. 114290
Pursuant to FINRA Rule 9216, Respondent RCX Capital Group, LLC submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2023078112801 Rajen Duggal CRD 6505933 AWC vr (2024-1708129198702).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023078112801
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Rajen Duggal (Respondent)
Former General Securities Representative
CRD No. 6505933
Pursuant to FINRA Rule 9216, Respondent Rajen Duggal submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2022076480401 Vision Financial Markets LLC CRD 142271 AWC vr (2024-1708129198763).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022076480401
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Vision Financial Markets LLC (Respondent)
Member Firm
CRD No. 142271
Pursuant to FINRA Rule 9216, Respondent Vision Financial Markets LLC submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.