Financial Advisor James B. Daughtry, Kestra Investment Services, Dothan, AL
FINRA Reportedly Bars Advisor James B. Daughtry
According to public records on the Financial Industry Regulatory Authority’s website, the regulator reportedly barred Daughtry on March 18, 2020 from associating with any FINRA member firm in all capacities after he allegedly refused to appear for on-the-record testimony requested by FINRA in connection with an investigation into “potentially fraudulent and unauthorized transactions in customers’ accounts.”
According to his broker profile, Daughtry was reportedly registered with Kestra in Dothan, AL from February 2015 until March 2020.
The foregoing information has been provided by The White Law Group.
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Franklin, Tennessee.
We represent investors in FINRA arbitration claims in all 50 states including Alabama. Our attorneys have recovered millions of dollars from many brokerage firms in the past.
If you are concerned about your investments with James B. Daughtry, please call the securities fraud attorneys at The White Law Group at 888-637-5510 for a free consultation.
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