Last Updated: March 2025 – Rancho Mirage, CA
Judith Dolle Investigation Summary
Here’s what you need to know about Rancho Mirage, CA, former stockbroker Judith Dolle:
- Name: Ms. Judith Ann Dolle
- Current Status: Not currently registered
- Prior Employers: LPL Financial LLC, Securities Service Network, Inc., SagePoint Financial, Inc., Linsco/Private Ledger Corp., Professional Asset Securities, Inc., Paine Webber Jackson & Curtis Inc., Bache Halsey Stuart Shields Inc.
- Function: Former Stock Broker / Financial Advisor
- Primary Location: Rancho Mirage, CA
- DBA: Householder Group Estate & Retirement Specialists
- Alias: Judith Ann Davidson, Judith Ann Levy, Judith Ann Metzger, Judith Ann Williams
- CRD#: 826135
- Can Judith Dolle be sued in FINRA arbitration? Yes
- Sanctioned by FINRA? No
- Pending Customer Disputes Seek Damages of: $750,000
If you’ve sustained damages from Ms. Dolle, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Judith Dolle As Your Stockbroker?
A FINRA arbitration case (Case No. 24-01787) was filed against Judith Dolle, alleging that she recommended unsuitable investments in non-traded REITs while employed with LPL Financial Corporation. The complaint, filed on August 20, 2024, relates to investment activity in September 2015 and seeks $750,000 in damages.
Alternative Investments: These are assets that are not stocks, bonds or cash. Alternative investments generally fall within five categories: hedge funds, private capital, natural resources (oil and gas, energy), real estate (REITs) and infrastructure. They are typically less liquid that conventional investments, less regulated with higher fees and generally higher risk. For more investigations involving Alternative Investments, see this.
Additionally, a second FINRA arbitration case (Case No. 24-00296) was filed on February 8, 2024, alleging that investments made in 2014-2015 were unsuitable for the customer’s investment objectives and risk tolerance. The exact damage amount has not been determined yet.
Allegations of Broker Misconduct Against Judith Dolle
Customers of Judith Dolle have alleged the following misconduct in connection with the handling of their investment accounts:
- Unsuitable Investment Recommendations: Multiple complaints allege that Ms. Dolle recommended non-traded REITs and real estate securities that were inappropriate for investors’ financial situations. Under FINRA Rule 2111, brokers must ensure that investment strategies align with a client’s risk tolerance, investment objectives, and overall profile.
- Breach of Fiduciary Duty & Negligence: Claims include allegations of negligence and breach of fiduciary duty, asserting that Ms. Dolle did not act in the best interests of her clients.
- Violations of FINRA Suitability Rules & Best Interest Standards: The allegations against Ms. Dolle, particularly those related to unsuitable investments in REITs, indicate potential violations of SEC Regulation Best Interest (Reg BI) and FINRA Rule 2111 (Suitability Rule), which require brokers to act in the best interest of their clients.
The Financial Industry Regulatory Authority (FINRA) licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints, disputes, regulatory sanctions, and financial matters such as bankruptcies, judgments, and liens.
Recover Your Investment Losses Now With Rex Securities Law
Investigation of LPL Financial and LPL Brokers-Lawsuits, Arbitrations & Customer Disputes
If you have suffered investment losses in an account handled by Judith Dolle, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL, and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors, and broker-dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.