Troy David Dueker (CRD #2369805) Has a Customer Dispute Disclosure on FINRA BrokerCheck

Troy David Dueker (CRD #2369805) is a broker with a customer dispute on FINRA BrokerCheck. We reviewed his BrokerCheck report on June 11, 2026. It reflects one customer dispute. If you invested with Troy Dueker and have concerns, keep reading.

BrokerCheck link: BrokerCheck

BrokerCheck report: BrokerCheck Report (PDF)

Investor Disputes / Customer Complaints

Troy Dueker’s FINRA BrokerCheck Report reflects one customer dispute disclosure. A summary of the dispute is below:

On April 23, 2026, a customer alleged Troy Dueker failed to follow instructions. The issue involved an attempt to lock in gains on a Registered Index Linked Annuity. The customer sought $43,656 in damages. Troy Dueker’s FINRA BrokerCheck report lists the product as a variable annuity. The complaint remains pending in Troy Dueker’s FINRA BrokerCheck report. Funds moved to cash were also part of the claim. The customer alleged Troy Dueker did not reinvest those funds. The customer claimed this caused a loss of significant investment gains.

Rule Summary #1: FINRA Rule 2330 (Deferred Variable Annuities)

FINRA Rule 2330 applies to recommended purchases and exchanges of deferred variable annuities. It requires firms to address risks, costs, liquidity, and product features.

Rule Summary #2: FINRA Rule 2111 (Suitability)

FINRA Rule 2111 requires recommendations to fit the customer’s investment profile. That profile may include risk tolerance, time horizon, and liquidity needs.

Why This Matters to Investors (Regulation Best Interest)

Regulation Best Interest (Reg BI) is a U.S. securities regulation. It strengthens the standard of conduct that broker-dealers owe to retail investors. It applies when they recommend securities transactions or investment strategies. The U.S. Securities and Exchange Commission adopted Reg BI. It became effective on June 30, 2020. Reg BI aims to protect investors while preserving access to brokerage products and services.

Reg BI requires broker-dealers and financial advisors to act in a retail customer’s best interest at the time of a recommendation. They must not place their own financial or other interests ahead of the customer’s. This standard is higher than the older “suitability” rule. Suitability meant a recommendation only had to be appropriate. It did not have to be the best option or free of conflicts.

Reg BI has four key obligations:

Disclosure Obligation – Broker-dealers must disclose material facts about the relationship and the recommendation. This includes fees, the scope of services, and conflicts of interest.

Care Obligation – Broker-dealers must use reasonable diligence, care, and skill. They must consider costs, risks, and alternatives when making a recommendation.

Conflict of Interest Obligation – Firms must identify conflicts of interest. They must disclose them and mitigate or eliminate them. This includes conflicts that create incentives to favor one product over another.

Compliance Obligation – Firms must maintain policies and procedures. Those policies should be designed to ensure compliance with Reg BI as a whole.

Reg BI applies to each recommendation. It is not a continuous duty like the fiduciary standard for registered investment advisers. Even so, it narrows the gap. It puts more focus on costs, conflicts, and investor-focused decision-making.

Overall, Regulation Best Interest promotes transparency. It also aims to improve the quality of investment recommendations. It is designed to reinforce trust between retail investors and broker-dealers in the U.S. securities markets.

Background Information (from BrokerCheck)

Based on his FINRA BrokerCheck report, Troy Dueker:

Is currently registered with PlanMember Securities Corporation.

Has passed the Securities Industry Essentials (SIE) exam. Troy Dueker has passed Series 6. He has also passed Series 65, Series 63, and Series 26.

Has no prior securities firm registration history reported.

Kurta Law Can Help

If you worked with Troy Dueker, you may have concerns about his activity. Kurta Law may be able to review your legal options. To speak with the firm, call 877-600-0098 or email info@kurtalawfirm.com.

Helpful resources: Variable Annuities | Unsuitable Investments

For nearly 20 years, Kurta Law has advocated for investors and helped hold financial professionals accountable. Our firm represents clients nationwide in securities arbitration and related disputes. If you believe a broker or firm mishandled your account, an attorney can review the facts. The attorney can also explain possible next steps.