Category Archives: WMA Securities

Former NYLife Securities Broker Judy Chang Barred For Forgery

The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA’s chief role is to protect investors by maintaining the fairness of the U.S. capital markets.

All stockbrokers and broker dealers (brokerage firms) are required to be licensed by and subject to the rules and regulations of FINRA. Each month FINRA publishes disciplinary actions against brokers and broker dealers. Discipline can range from monetary fines and suspensions, or in extreme cases, revocation of licensing and a bar from the securities industry.

See the FINRA website for current and historical disciplinary actions.

 
October 2013

Judy L. Chang aka Judy Chang Huckle (CRD #2485754, Registered Representative, Las Vegas, Nevada) submitted a Letter of Acceptance, Waiver and Consent in which she was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Chang consented to the described sanction and to the entry of findings that in connection with a FINRA investigation into a Uniform Termination Notice for Securities Industry Registration (Form U5) filed by a member firm reporting that Chang admitted that she violated company policy for failing to obtain genuine customer signatures on traditional life insurance applications and policy documents, FINRA requestedthat Chang provide information and documents, to which she refused. ( FINRA Case #2012034011701)

According to FINRA records, Chang was registered with NY Life Securities 1/2009-9/2012. Prior to that she was registered with WMA Securities.

 
For the complete report visit the FINRA disciplinary website and follow the October 2013 link.
If you have questions about investment losses or the way your brokerage account has been handled, please contact us to discuss your legal rights.

Rex Securities Law , located in Boca Raton, FL, provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

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