James Blake Daughtry
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/18/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020065293201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James Blake Daughtry, Respondent General Securities Representative CRD No. 3272282 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent James Blake Daughtry submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2020065293201data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 3272282 |
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