Articles Tagged with Judy Bat

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Judy BatPublicly 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.