Castle Rock, CO
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Judy Bat recently disclosed that a customer is seeking damages of $400,000 in FINRA Case 15-2334. The customer alleges that an unknown third party was able to access her account information and request a wire transfer of funds based on non-encrypted email communications with her advisor.
Judy Bat has been registered with Waddell & Reed since 8/2006.
If you have questions about a brokerage account handled by Judy Bat , call to discuss your legal options. You may be entitled to damages through FINRA arbitration.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, 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.
Florida-561 391 1900