Articles Tagged with Signator Investors

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.