Robert Judge Suspended by FINRA Following Allegations
Robert Judge (CRD #: 1147009), a previously registered broker with LPL Financial, is the subject of a FINRA suspension, according to his BrokerCheck record, accessed on September 27, 2023. Details concerning the suspension are provided below.
On August 3, 2023, Robert Judge consented to the entry of findings that he permitted his business partner to falsify the signatures of at least 11 customers on 14 account documents. The account documents included new account applications, money transfers, and IRA contribution and distribution forms.
Terms of the Acceptance, Waiver, and Consent Agreement (AWC)
Robert Judge consented to a four-month suspension and a $5,000 fine. You can read a copy of the AWC here.
FINRA Rule 4511
FINRA Rule 4511 requires that firms maintain accurate books and records. Falsifying signatures violates this rule.
FINRA Rule 2010
FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of FINRA Rule 4511 also violate this rule.
Background Information
Robert Judge 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 24 General Securities Principal Examination
During his 33 years of experience, Robert Judge has registered with eight firms:
- LPL Financial (CRD #: 6413)
- Invest Financial Corporation (CRD #: 12984)
- Pacific West Securities (CRD #: 6390)
- Linsco/Private Ledger Corp (CRD #: 6413)
- First Bankers’ Banc Securities (CRD #: 15041)
- Banc of America Investment Services (CRD #: 16361)
- Nationssecurities (CRD #: 32542)
- Boatmen’s Investment Services (CRD #: 17533)
Kurta Law Can Help
If you worked with Robert Judge and 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.
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