Joseph Pratte (Joseph Glenn Pratte) has consented to a sanction from FINRA (the Financial Industry Regulatory Authority). FINRA is a non-governmental regulator of securities firms that focuses on investor protection and market integrity through effective and efficient regulation of the securities industry. The attorneys of Fishman Haygood Investment Fraud Lawyers are currently investigating possible claims against stockbroker Joseph Pratte.
In May 2018 Joseph Pratte was banned permanently from practicing as a broker. Joseph Pratte worked for Signator Investors, Inc. (the broker-dealer arm of John Hancock) in Riverside, California from November 1982 to December 2017.
FINRA alleges that Joseph Pratte engaged in the following misconduct: refused to provide information to FINRA in connection with FINRA’s investigation in allegations that Pratte engaged in unauthorized outside business activities.
Joseph Pratte was fired by Signator Investors, Inc. in December 2017 after the Firm alleged that Pratte engaged in prohibited outside business activities and failed to submit the activity to the Firm for approval as required by Signator’s policies and procedures.
If you invested money through Joseph Pratte, we would like to talk to you. Fishman Haygood Investment Fraud Lawyers are experienced securities litigators. We have helped hundreds of clients recover their losses that were due to broker fraud or negligence. Contact us today to discuss your options and receive a free consultation.
Fishman Haygood Investment Fraud Lawyers represents investors who have suffered investment losses in claims against their brokers or financial advisors. Our experienced attorneys have brought securities fraud cases in state and federal courts across the nation, as well as in FINRA arbitration. We work to help investors recoup their losses.
Of course, all cases are different. For that reason, we analyze each client’s matter individually and provide our personalized evaluation only after considering all of the facts and circumstances of all possible claims. If you or someone you know is the victim of securities fraud, please contact a Fishman Haygood Investment Fraud lawyer today.
