Judith Ann Bufis Allegedly Engaged in Potential Private Securities Transactions
Judith Ann Bufis, formerly known as Judith Ann Burmistrenko, allegedly engaged in potential private securities transactions, according to a Regulatory Action reported on Bufis’s FINRA BrokerCheck under review by investor rights attorney Alan Rosca.
Alan Rosca, of the Rosca Scarlato LLC law firm, is investigating activity related to Judith Bufis’s alleged potential private securities transactions. Investors who believe they may have lost money in activity related to Judith Bufis’s alleged engaging in potential private securities transactions are encouraged to contact attorney Alan Rosca with any useful information or for a free, no obligation discussion about their options.
Judith Bufis Barred by FINRA after Allegedly Failing to Provide Documents & Information Requested by FINRA
Judith Ann Bufis, based on the alleged aforementioned behavior, fell under the scope of a FINRA investigation, FINRA notes.
Bufis was then barred from acting as a broker or otherwise associating with a broker-dealer firm by FINRA for failure to provide documents and information requested by FINRA, FINRA states. Bufis has worked for over three decades in the securities industry, and only has one disclosure on her record, FINRA reports.
Judith Bufis has worked for 32 years in the securities industry at 12 different firms and was most recently registered with Kovack Securities in East Brunswick, New Jersey from January 2, 2018 until September 7, 2018, FINRA notes.
Previous registrations also include:
• Invest Financial Corporation in East Brunswick, New Jersey (2016-2017)
• TFS Securities in East Brunswick, New Jersey (2006-2014)
• ING Financial Partners in Des Moines, Iowa (2004-2006)
• Sammons Securities Company in Ann Arbor, Michigan (2002)
• Walnut Street Securities in El Segundo, California (1996-2002)
• North American Management in Sioux Falls, South Dakota (1996)
• Independent Financial Securities (1991-1995)
• Wealth Builders Equity Corporation (1990-1991)
• Ringler Securities Services in Orlando, Florida (1990)
• Invest Financial Corporation in Appleton, Wisconsin (1983-1990)
Finally, it is important to note that, as of the date of this article, there has not been a finding of liability as to the complaints or allegations mentioned in this article, unless otherwise indicated. Any reader should also read the original sources hyperlinked in this blog for accuracy, including any BrokerCheck report and/or record of any disciplinary or regulatory action. Those sources are incorporated by reference into the text of this blog, and are the governing materials in case of any inconsistencies or typos in this blog.
Securities Lawyer Investigating
The Rosca Scarlato LLC law firm represents investors who lose money as a result of investment-related fraud or misconduct and are currently investigating Judith Bufis’s alleged potential private securities transactions. The firm takes most cases of this type on a contingency fee basis and advance the case costs, and only gets paid for their fees and costs out of money recovered for clients. Attorney Alan Rosca, a securities lawyer and adjunct professor of securities regulation, and has represented thousands of victimized investors across the country and around the world in cases ranging from arbitrations to class actions.
Investors who believe they lost money as a result of Judith Bufis’s alleged potential private securities transactions may contact attorney Alan Rosca for a free no-obligation evaluation of their recovery options, at 888-998-0530, via email at arosca@rscounsel.law, or through the contact form on this webpage.