Ellen Vratoric, formerly with Huntington Investment Company, Barred by FINRA
Have you lost money with financial advisor Ellen Vratoric of Glassport, Pennsylvania? We are continuing our investigation into allegations made by FINRA, the Financial Industry Regulatory Authority, against Ellen Vratoric. FINRA barred Vratoric from the securities industry after she failed to respond to a FINRA investigation. FINRA was investigating Vratoric after she was terminated by her former brokerage firm, the Huntington Investment Company. The Huntington Investment Company fired Vratoric regarding allegations that she had an increase in customer complaints, that she had signed but undated variable annuity forms, and that the document had been whited-out and re-used.
Ellen Vratoric was a financial advisor and registered representative of Huntington Investment Company from March 2008 to March 2016. She worked at a branch office in Glassport, Pennsylvania. Vratoric has been the subject of one customer complaint.
Brokerage firms like Huntington Investment Company have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; and Seattle, Washington. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Pennsylvania and throughout the Pittsburgh area, including numerous victims of the Doug Simanski Ponzi scheme in Central Pennsylvania. Our attorneys have represented over one thousand investors against many brokerage firms in the past.
Click to view: Vratoric, Ellen FINRA Order
Click to view: Vratoric, Ellen FINRA Complaint
Click to view: Vratoric, Ellen BrokerCheck 12.226.17
If you lost money with Ellen Vratoric, Huntington Investment Company, SagePoint Financial, or First Allied Securities, please CONTACT US at 720-599-3505 for a free evaluation of your case.
Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.