2018056490327 Michael J. Dugan CRD 2824966 AWC gg (2025-1746145196658).pdf

Between May 2017 and April 2022, Dugan recommended to two retail customers a series of trades that were excessive, unsuitable, and not in the customers’ best interests. As a result, Dugan willfully violated the Best Interest Obligation under Rule 15l-1(a)(1) of the Securities Exchange Act of 1934 (Regulation BI or Reg BI) and violated FINRA Rules 2111 and 2010. For these violations, Dugan is suspended for seven months in all capacities.

Protecting Investors: FINRA Securities Helpline for Seniors' 10th Anniversary

This month, we are marking the 10th anniversary of the FINRA Securities Helpline for Seniors—an important milestone for a critical service that FINRA provides to protect vulnerable investors and assist harmed investors. On this FINRA Unscripted podcast episode, we will be speaking with leaders from FINRA’s Vulnerable Adults and Seniors Team—Elizabeth Yoka, the manager of VAST Intake, and Michael Paskin, the manager of the VAST Investigations, to discuss the Helpline and its 10 years of protecting investors.
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