Donald Chapman Pratt (CRD #367121, Registered Principal, Glastonbury, Connecticut) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000 and suspended from association with any NASD member in any capacity for 30 days. Without admitting or denying the findings, Pratt consented to the described sanctions and to the entry of findings that he engaged in private securities transactions without providing prior written notice to, and receiving prior written approval from, his member firm.
The suspension in any capacity is in effect from February 5, 2007, through March 6, 2007. (NASD Case #2006004065001)