Jacqueline Perrell

Jacqueline Perrell is Senior Vice President and Chief of Staff in Market Regulation and Transparency Services. Ms. Perrell is responsible for overseeing a wide variety of core functions within the department, including strategic initiatives, business operations, training and development, and regulatory compliance functions. Previously, Ms. Perrell was Vice President in Member Supervision and the head of the Market Fraud Investigations team, which conducts investigations involving potentially fraudulent activity in securities listed on the U.S.

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.
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