Broker Investigation: Ellen Vratoric

Ellen Vratoric (CRD#: 2345611) is a previously registered broker and investment advisor. Most recently, Ms. Vratoric was employed at The Huntington Investment Company (2008-2016) in Glassport, PA. She has also been associated with LPL Financial Corporation (2007-2008) and Nat City Investments (1998-2007).

On June 1st, 2018, the FINRA Office of Hearing Officers announced a decision, indefinitely barring Ellen Vratoric from associating with any member firm in any capacity. According to investigators, Ms. Vratoric failed to cooperate with an agency review into customer complaints against her. This is a direct violation of FINRA Rule 8210.

Investor Complaints: Ellen Vratoric

Ellen Vratoric was terminated from her brokerage firm (The Huntington Investment Company) in March of 2016. According to information provided by the company to FINRA, Ms. Vratoric had recently been the subject of an increasing number of customer complaints.

In addition, her employer also reported that troubling information was discovered by a compliance officer during a review of her work. Paperwork was obtained on which it appeared that white-out was used and an undated signature was re-used.

Following the termination, FINRA launched its own review into this broker. However, in violation of industry rules, Ellen Vratoric declined to cooperate with the FINRA investigation. As a result, she has been indefinitely barred from the securities industry.

Get Help From a Securities Fraud Law Firm Today

At the Sonn Law Group, we represent investors against negligent brokerages and financial advisors. If you sustained major investment losses, our legal team is here to conduct a free, comprehensive review of your legal claim.

Disclaimer: This article contains opinions and NOT statements of fact in any way whatsoever. The information here is general information that should not be taken as legal advice. NO attorney-client relationship is established between you and our attorneys by reading this article. This article is attorney advertising and should not be used as a substitute for legal advice from a qualified securities lawyer.