Tagged with "james daughtry"

Broker Barred for Failure to Appear for On-the-Record Interview

Posted on March 24th, 2020 at 5:20 PM
Broker Barred for Failure to Appear for On-the-Record Interview

James Blake Daughtry, a former representative at Kestra Investment Services, has agreed to a bar from the securities industry.  On March 5, 2020, Daughtry signed a letter of Acceptance, Waiver and Consent (“AWC”), agreeing to be barred from associating with any FINRA member firm in any capacity for his failure to appear for an on-the-record interview (“OTR”) with FINRA.

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