Judith Singleton Faces Allegations of Violating FINRA Rules
Judith Singleton (CRD #: 2534823), a broker registered with Raymond James Financial Services, is involved in an investor dispute, according to her BrokerCheck record, accessed on February 24, 2022. This is her fifth investor dispute.
On November 29, 2021, an investor alleged that Judith Singleton recommended an unsuitable real estate investment. The investor further alleges that this was outside of her approved business activities. The investor is seeking $177,613.56; the dispute is pending.
FINRA Selling Away Rules
FINRA Rule 3040 states that investors are not allowed to participate in private securities transactions that are not approved by their firm.
Brokers are also not allowed to engage in unapproved outside businesses. Judith Singleton has the following outside businesses listed on her detailed BrokerCheck record:
- J Singleton Financial
- Interior Design LLC
- Singleton Peery Financial
Background Information
Judith Singleton has passed the following exams:
- Series 65 Uniform Investment Adviser Law Examination
- Series 63 Uniform Securities Agent State Law Examination
- SIE Securities Industry Essentials Examination
- Series 7 General Securities Representative Examination
- Series 51 Municipal Fund Securities Principal Examination
- Series 24 General Securities Principal Examination
She is a registered broker in 39 states and D.C. She is also a registered investment adviser in Texas and Wyoming.
Besides Raymond James Financial Services (CRD #: 6694), Judith Singleton has also registered with Robert Thomas Securities (CRD #: 10147).
Kurta Law Can Help
If you have worked with Judith Singleton and have concerns about your investments, don’t hesitate to contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.
For nearly 20 years, Kurta Law has advocated on behalf of investors who have lost money following broker fraud or misconduct. Kurta Law is a nationally recognized law firm and exclusively represents investors on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Our attorneys will work tirelessly to restore your lost funds and get your financial future back on track.