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Joseph Pratt Formerly With Stifel, Nicolaus & Company, Incorporated Has 3 Customer Complaints For Alleged Broker Misconduct

Who is Joseph Pratt formerly with Stifel, Nicolaus & Company, Incorporated?

Joseph Pratt

Joseph Pratt (CRD #719416) who was formerly registered with Stifel, Nicolaus & Company, Incorporated and located in Conshohocken, Pennsylvania, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Stifel, Nicolaus & Company, Incorporated, Joseph Pratt was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Joseph Pratt has had his share of regulatory problems. His been permanently barred by FINRA from any further association with any member firm in any capacity for failure to pay an arbitration award and insider trading.

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Joseph Pratt Customer Complaints

Joseph Pratt has been the subject of 3 customer complaints that we know about to recover investment losses. All 3 of the customer complaints were settled by Stifel Nicholas & Co. and/or Wells Fargo Advisors in favor of the investors.

Allegations Against Joseph Pratt

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

  • Violation of Florida securities an investor protection act, breach of fiduciary duty, negligence, and violation of FINRA rules.
  • Failure to follow client’s instructions with respect to risk.
  • Failure to disclose deferred sales charges.

Joseph Pratt Red Flags & Your Rights As An Investor

Of course, Joseph Pratt did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Joseph Pratt at Stifel, Nicolaus & Company, Incorporated on alert to review carefully the activity and performance of their accounts and question whether Joseph Pratt has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Stifel, Nicolaus & Company, Incorporated also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

Did You Lose Money Because of Broker Misconduct?

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If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.

Need Legal Help? Let’s talk.

or, give us a ring at 561-338-0037.

File A Claim To Recover Your Investment Losses At Stifel, Nicolaus & Company, Incorporated Due To Joseph Pratt

If you have questions about Stifel, Nicolaus & Company, Incorporated and/or Joseph Pratt and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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