Joseph Pratte – Financial Advisor Joseph Pratte Barred from Securities Industry

Joseph Pratte – Financial Advisor Joseph Pratte Barred from Securities Industry​  | Goodman & Nekvasil P.A., May Recover Investor Losses

Joseph Pratte CRD #818045

From 1982 until Joseph Pratte’s discharge in 2017, Joseph Pratte was licensed with Signator Investors, Inc. According to FINRA’s records, Joseph Pratte was discharged from Signator Investors, Inc. on December 18, 2017. Signator Investors, Inc. reported to FINRA that Joseph Pratte engaged in prohibited OBA and failed to submit the activity to the Firm for approval as required by the policies and procedures of the Firm.  

Subsequent to Joseph Pratte’s discharge from Signator Investors, Inc., FINRA investigated Joseph Pratte and brought a disciplinary action against Joseph Pratte. Joseph Pratte was barred from the securities and investment banking industry on May 1, 2018. FINRA reports that Joseph Pratte consented to the sanction and to the entry of findings that Joseph Pratte refused to provide information in response to FINRA requests made in connection with tis review of Joseph Pratte’s outside business activities. The findings stated that Joseph Pratte’s former member firm had filed an amended Form U5 reporting that Joseph Pratte engaged in prohibited outside business activity and failed to submit the activity to the firm for approval.

If you lost any money on investments with Joseph Pratte, you may be able to recover your losses from Signator Investors, Inc. This is because Signator Investors, Inc. had a duty to supervise Joseph Pratte.

If you lost money on investments with Joseph Pratte and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action against Signator Investors, Inc. concerning Joseph Pratte’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.

Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered approximately $180 million on behalf of victimized investors. If you lost money on investments with Joseph Pratte and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us. 

Joseph Pratte, Investment Fraud Attorney, Stockbroker Misconduct Disciplinary Actions, Unsuitable Investment Advice, Investment Fraud, Churning, Misrepresentation and Omission of Material Facts, Elder Fraud, Unauthorized Trading, Theft, Selling Away, Unapproved Outside Business, Nationwide, PIABA, SEC, Securities Exchange Commission, NASD, National Association of Securities Dealers, NASDAQ, Dow Jones, Wall Street, New York Stock Exchange, Joseph Pratte

Back to Blogs

Contact Us For a Free Consultation

This question is for testing whether or not you are a human visitor and to prevent automated spam submissions.
1 + 19 =
Solve this simple math problem and enter the result. E.g. for 1+3, enter 4.