Patrick, Judy Jo

Judy Jo Patrick (CRD # 1476997, Registered Representative, Owasso, Oklahoma) submitted a Letter of Acceptance, Waiver and Consent in which she was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Patrick consented to the described sanction and to the entry of findings that she altered public customers’ Withholding Certificate for Pension or Annuity Payment Forms (IRS Form W-4P) by affixing invalid copies of the customers’ signatures. The findings stated that Patrick similarly altered her member firm’s internal documents regarding public customers, thereby causing the firm’s books and records to be inaccurate and not in compliance with Section 17(a) of the Securities Exchange Act of 1934 and SEC Rule 17a-3. The findings also stated that Patrick failed to respond to FINRA requests for information. (FINRA Case # 2008013438901)

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