Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Daughtry (Daughtry), previously associated with Kestra Investment Services, LLC, has at least 7 disclosable events. These events include 5 customer complaints, 2 regulatory events, alleging that Daughtry recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on September 29, 2022.
On 9/28/22 an Order to Bar (OB-2022-0023) was issued against the Respondent by Alabama Securities Commission. OB issued due to Respondent failed to make full & complete disclosure that clients’ accounts were being sold, moved to Graysail & lack of respondent’s involvement with their accounts. For more info contact the Alabama Securities Commission at 334-242-2984