Joseph Pratte Sanctioned by FINRA, Terminated from Signator Investors Over Outside Business Activity Allegations

Joseph PrattePublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 1, 2018 indicate that former California-based Signator Investors broker Joseph Pratte was recently sanctioned by FINRA in connection to alleged rule violations and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Pratte (CRD# 818045).

Joseph Pratte has spent 35 years in the securities industry and was most recently registered with Signator Investors in Riverside, California (1982-2017). Previous registrations include John Hancock Mutual Life Insurance Company in Boston, Massachusetts (1982-1997) and New York Life Securities Corporation (1982-1984). He has passed two securities industry examinations: SIE (Securities Industry Essentials Examination), which he obtained on December 31, 2017, and Series 1 (Registered Representative Examination), which he obtained on February 2, 1976. He is currently not registered with any state or firm.

According to his BrokerCheck report, he was discharged from his former employer in connection to alleged rule violations and was recently sanctioned by FINRA.

In May 2018 FINRA sanctioned him in connection to allegations he refused to provide information in connection to a review of his outside business activities. He was subsequently barred from acting as a broker or otherwise associating with a broker-dealer firm.

In December 2017 FINRA sanctioned him in connection to allegations he participated in a prohibited outside business activity and failed to submit the activity for firm approval, in contravention of firm policies and procedures.

If you have lost money investing with Theodore Coleman, you may be entitled to recoup your losses. Call Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis, which means we only get paid if and when you collect money.  Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.

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