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Judith Ebsary: Received FINRA Sanction

Judith EbsaryPublic records published by the Financial Industry Regulatory Authority (FINRA) on October 22, 2016 indicate that former Massachusetts-based Raymond James Financial Services broker Judith Ebsary is currently not affiliated with any broker-dealer firm. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Ebsary (CRD# 3011368).

Judith Ebsary has spent seventeen years in the securities industry and was most recently registered with Raymond James Financial Services in Franklin, Massachusetts (2015-2016). Previous registrations include Merrill Lynch in Westborough, Massachusetts; Morgan Stanley & Company in Hyannis, Massachusetts; Morgan Stanley DW in Hyannis, Massachusetts; AdVest in Hartford, Connecticut; and Salomon Smith Barney in New York, New York. She is currently not registered with any state or firm.

According to her BrokerCheck report, Judith Ebsary has received one customer complaint and one FINRA sanction.

In October 2016 FINRA sanctioned Judith Ebsary following allegations she “executed securities transactions in the retirement accounts of her member firm’s customers that were held at financial institutions other than the firm, but did not notify the firm in writing prior to the execution of these transactions.” She was issued a 20-day suspension and a fine of $5,000.

In March 2015 Judith Ebsary voluntarily resigned from Merrill Lynch following allegations of “conduct involving making an unsuitable account recommendation for a client, accepting client logon credentials and accessing and advising on client accounts held outside the firm.”

In 2010 a customer alleged Judith Ebsary, while employed at Merrill Lynch, misrepresented and omitted material facts and executed unauthorized trades. The complaint settled in 2011 for more than $5,600.

If you have suffered losses while investing with Judith Ebsary, you may be entitled to a recovery. Call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on contingency: we only get paid if and when you collect money. Time to file your claim may be limited, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.