Judith Bufis, formerly with TFS Securities, Barred from Securities Industry

Have you lost money with financial advisor Judith Bufis of TFS Securities in East Brunswick, New Jersey?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Judith Ann Bufis.  FINRA barred Bufis from the securities industry after she failed to respond to an investigation.  Bufis was being investigated regarding allegations of potential private securities transactions.

Judith Bufis was a registered representative and financial advisor with TFS Securities from 2006 to December 2014.  She was also previously affiliated with IFS Securities from January 2015 to April 2016; with Invest Financial Corp. from September 2016 to December 2017; and with Kovack Securities from January 2018 to September 2018.  She worked out of a branch office in East Brunswick, New Jersey.

Broker-dealers like TFS Securities have a responsibility to adequately supervise all representatives who are registered through their firm, including investments sold by their registered representatives.  Broker-dealers also must take steps to ensure that their financial advisors follow all securities rules and regulations.  When broker-dealers fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Our firm represents investors throughout the country who are victims of financial advisors’ negligence and fraud in FINRA arbitration.  Our firm has offices in Seattle and Denver, and we continue to represent investors throughout the U.S., including in New Jersey.

Click to view:  Bufis, Judith FINRA AWC

Click to view:  Bufis, Judith BrokerCheck 10.30.18

If you have lost money with Judith Bufis and TFS Securities, and want to hear about ALL legal options, please CONTACT ISRAELS & NEUMAN at 720-599-3505.

Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency.  Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency.  All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact.  This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice.  Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis.  In contingent representation, clients may still be liable for costs.