Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 6, 2017 indicate that former Colorado-based Waddell & Reed broker Judy Bat, also known as Judy Kaffenberger, has received a customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Bat (CRD# 2933022).
Judy Bat has spent 16 years in the securities industry and was most recently registered with Waddell & Reed in Denver, Colorado (2006-2017). Previous registrations include AG Edwards & Sons in St. Louis, Missouri (2000-2003) and Dean Witter Reynolds in Purchase, New York (1997-2000). She has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which she passed on September 1, 2016, and Series 7 (General Securities Representative Examination), which she passed on August 8, 2006. Ms. Bat is currently not registered with any state or firm.
According to her BrokerCheck report, Judy Bat has received one customer complaint.
In 2015 a customer filed a complaint against Judy Bat, while she was employed at Waddell & Reed, alleging that “an unknown third party was able to access her account information and request a wire transfer of funds based on non-encrypted email communications with her advisor.” The complaint, which was made in connection to a managed allocation portfolio, settled in 2016 for $277,000.
If you or someone you know has lost money investing with Judy Bat, also known as Judy Kaffenberger, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited by law, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.