Kenneth Judd Barred by FINRA

Kenneth Judd (CRD #: 7110607), a broker formerly registered with Valkyrie Equities Corporation,  has been barred by FINRA, according to his BrokerCheck record, accessed on November 6, 2024. If you have questions about his alleged conduct as a broker, keep reading.

Bar by FINRA

On October 22, 2024, Kenneth Judd consented to the entry of findings that he allegedly refused to provide documents and information requested by FINRA as part of an investigation into an amended Form U5 (Uniform Termination Notice for Securities Industry Registration) filed by Valkyrie Equities Corporation.

According to a Letter of Acceptance, Waiver & Consent (AWC), the form allegedly stated that he had been permitted to resign after failing to respond to an audit request following a Regulation D offering.

FINRA Rule 8210

FINRA Rule 8210 requires members to submit their books and records for inspection and to appear for testimony in connection with FINRA investigations.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Sanctions

FINRA permanently barred Kenneth Judd starting October 22, 2024. You can read the full AWC here.

Termination from Valkyrie Equities Corporation

On December 31, 2023, Kenneth Judd was permitted to resign from Valkyrie Equities Corporation. The firm alleged that he violated anti-fraud provisions, broke escrow with regard to certain funds, and deferred commissions to prevent the discovery of his breaking escrow.

Background Information

Kenneth Judd has passed the following exams:

• Series 66 – Uniform Combined State Law Examination
• Series 7TO – General Securities Representative Examination
• Series 79TO – Investment Banking Registered Representative Examination
• SIE – Securities Industry Essentials Examination
• Series 24 – General Securities Principal Examination

He previously worked for Valkyrie Equities Corporation (CRD#:155936).

Kurta Law Can Help

If you worked with Kenneth Judd and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.