Pramer III, Joseph Aloyisius

Joseph Aloyisius Pramer III (CRD # 1079663, Registered Representative, Norwalk, Connecticut) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000 and suspended from association with any FINRA member in any capacity for 30 business days. Without admitting or denying the findings, Pramer consented to the described sanctions and to the entry of findings that he altered customer telephone records at his member firm by deleting or inaccurately updating the numbers to slow down other registered representatives at his firm that he believed would be assigned to call his customers after he resigned. The findings stated that by changing customer telephone numbers, Pramer caused his member firm to create and maintain inaccurate books and records.

 
Goodman & Nekvasil, P.A., 14020 Roosevelt Blvd., Suite 808, P.O. Box 17709, Clearwater, FL 33762