James Daughtry a/k/a James Blake Daughtry Financial Advisor/Broker Barred from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses
James Daughtry a/k/a James Blake Daughtry was a previously licensed financial advisor/broker with Kestra Investment Services, LLC. FINRA reports that James Daughtry was barred from the securities industry in March 2020.
According to FINRA:
James Daughtry consented to the sanction and to the entry of findings that James Daughtry 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.
Arbitration Claims Filed:
At least one investor has now filed an arbitration against Daughtry’s former brokerage firm claiming they invested with James Daughtry, but funds ended up with Graysail – which is allegedly a defunct IRA that was housed at a custodial firm referred to as Equity Trust. Upon information and belief, forged documents allegedly caused this investor to lend nearly all of their assets to an entity named Small World Capital. Meanwhile, this investor knew nothing about these transactions.
Goodman & Nekvasil P.A. May Recover Investor Losses
If you lost money on investments with James Daughtry and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action concerning James Daughtry’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $200 million on behalf of victimized investors. If you lost money on investments with James Daughtry and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
Some of the information in this blog post was obtained on 3/23/2020 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.
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