Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 23, 2019 indicate that Illinois-based CIBC World Markets broker Richard Judd has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Judd (CRD# 1891117).
Richard Judd has spent 28 years in the securities industry and has been registered with CIBC World Markets Corporation in Chicago, Illinois since 2017. Previous registrations include GNV Advisors in Chicago, Illinois (2011-2017); UBS Financial Services in Weehawken, New Jersey (2006-2009); Piper Jaffray & Company in Chicago, Illinois (2004-2006); Deutsche Bank Securities in New York, New York (2001-2004); DB Alex Brown in Baltimore, Maryland (1997-2001); Alex Brown & Sons (1996-1997); and William Blair & Company in Chicago, Illinois (1988-1996). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 19, 1996; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 26, 1989; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on October 15, 1998. He is currently not registered with any US state or territory.
According to his BrokerCheck report, he has received five customer complaints and one pending customer complaint.