ELLEN VRATORIC, MS
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/22/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Ellen Vratoric (CRD No. 2345611), Respondent. DISCIPLINARY PROCEEDING NO. 2016049420501 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. On two occasions during October and November, 2017, Respondent Ellen Vratoric (“Vratoric”) failed to appear and provide investigative testimony requested pursuant to FINRA Rule 8210. As a result, Vratoric violated FINRA Rules 8210 and 2010.
06/01/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ELLEN VRATORIC (CRD No. 2345611), Respondent. Disciplinary Proceeding No. 2016049420501 Hearing Officer–LOM DEFAULT DECISION June 1, 2018 For twice failing to provide sworn testimony requested pursuant to FINRA Rule 8210, Respondent is barred from association in any capacity with any FINRA member.
Reference 2016049420501finra.orgdata-portal.finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2345611 |
Other names1
Also known as1
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