Last Updated: August 2023 (Newport Beach, CA)
Tyler Pratt Investigation Summary
Here’s what you need to know about Newport Beach, CA stockbroker Tyler Pratt:
- Name: Mr. Tyler William Pratt
- Current Employer: Oppenheimer & Co.
- Previous Firms: RBC Capital Markets, Frontier Financial Advisors
- Function: Stock Broker / Financial Advisor
- Aliases: Tyler Pratt
- Primary Location: Newport Beach, CA
- CRD #4384484
- Discharged by RBC Capital Markets in May 2023 for violating the Time & Price Discretion Policies with respect to bond liquidations for one client and violating Electronic Communications Policy for sending text messages to two clients.
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Tyler Pratt As Your Stockbroker?
Tyler Pratt has 2 customer complaints for alleged broker misconduct.
In March 2023, a customer of RBC Capital Markets alleged unauthorized trading in her accounts by Tyler Pratt and requested reimbursement of all margin interest charges. The case settled for $12,386.
In May 2023 a customer of RBC Capital Markets alleged that he never approved to make trades in his account on margin and is seeking damages of more than $5,000 in this currently pending matter.
Allegations of Broker Misconduct Against Tyler Pratt
Customers of Tyler Pratt have alleged the following wrongdoing in connection with the handling of customer accounts:
- Unauthorized Trading
- Improper use of margin borrowing
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by Tyler Pratt, contact us for a complimentary consultation to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
