The Financial Industry Regulatory Authority Inc. has barred James Blake Daughtry, a broker with Kestra Investment Services in Dothan, Ala., for failing to cooperate with a Finra inquiry into his conduct.
In a letter of acceptance, waiver and consent, Finra said that during a telephone call between staff and Mr. Daughtry's counsel March 3, Mr. Daughtry acknowledged that he received Finra’s request and said that he would not appear for on-the-record testimony at any time.
Finra was conducting an investigation into potentially fraudulent and unauthorized transactions in several of Mr. Daughtry’s customers’ accounts.
Mr. Daughtry began his securities career at Liberty Securities in 1999 and worked at five firms before affiliating with Kestra in 2015.
Short sellers previously said the company was under investigation, though Roblox denied allegations.
The Consumer Financial Protection Bureau is in the crosshairs of the Republican group that is widely attempting to dismantle government agencies.
National Securities Corp. sued the advisor in 2020, alleging breach of contract and unjust enrichment.
Recent data support a measured pace by the Federal Reserve for the year ahead.
Financial advisors are still adding alternatives despite the surge in publicly traded stock prices
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