Investor Alert > Judith Bufis— Alleged Potential Private Securities Transactions
Posted Dec 11, 2018
by Alan Rosca

Judith Bufis— Alleged Potential Private Securities Transactions

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.

 

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DISCLAIMER

In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow matters about which we report, and/or to publish subsequent updates regarding various developments that may occur in such matters. Readers are encouraged to conduct their own research regarding any such matters and any developments that may or may not have occurred in such matters. Also, the Brokercheck report linked to some of our blogs is the up-to-date version as of the date of accessing by the reader. The information in our blogs is current as of the date of the drafting of the blog, and given that sometimes certain past complaints may no longer be listed in newer Brokercheck reports, some of the events referenced in some of our blogs may later on be removed from newer Brokercheck reports. Visitors may check the most recent version of each brokercheck report at www.finra.org, and may contact FINRA for the earlier version of the Brokercheck report upon which various blogs may be based.

If you believe you lost money as a result of investment-related fraud or misconduct, please contact our law firm for a free, no-obligation evaluation of your recovery options.

Contact us at 888‑998‑0530 or through the contact form on this page.
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