Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 1, 2018 indicate that former Iowa-based Northwestern Mutual Investment Services broker Judith Bufis was recently sanctioned by FINRA in connection to alleged rule violations and barred from acting as a broker. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Bufis (CRD# 1070648).
Judith Bufis has spent 32 years in the securities industry and was most recently registered with Kovack Securities in East Brunswick, New Jersey (2018). Previous registrations 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); and Invest Financial Corporation in Appleton, Wisconsin (1983-1990). She has passed two securities industry examinations: SIE (Securities Industry Essentials Examination), which she obtained on September 7, 2018, and Series 7 (General Securities Representative Examination), which she obtained on March 19, 1983. She is currently not registered with any state or firm.
According to her BrokerCheck report, she was recently sanctioned by FINRA in connection to alleged rule violations.
In October 2018 FINRA sanctioned her in connection to allegations she failed to provide FINRA with requested records and information in connection to “potential private securities transactions.” She was subsequently indefinitely barred from association with any FINRA member firm in all capacities.
If you have lost money investing with Judith Bufis, you may be entitled to recoup your losses. Call Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis, which means we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.