Kenneth Joseph Judd (CRD #7110607, Lucas, Texas)

October 22, 2024 – An AWC was issued in which Judd was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Judd consented to the sanction and to the entry of findings that he refused to provide documents and information requested by FINRA in connection with its investigation into his conduct described in an amended Form U5 filed by his member firm. The findings stated that the amended Form U5 stated that Judd had been permitted to resign after he failed to respond to an audit request shortly after conducting a Reg D Offering. (FINRA Case #2024080225701) If you have suffered losses as a result of Kenneth Joseph Judd's act and/or actions, we would like to hear from you. We are currently investigating claims on behalf of clients who have suffered significant losses in their portfolios that are managed by Kenneth Joseph Judd. The Schwartz Law Firm represents investors in claims against financial advisors and their firms. If you have questions about your potential claim or need assistance from an investment fraud lawyer, please contact us at 866-618-0545 or email Matthew Schwartz directly at mschwartz@tslfirm.com.