Broker fired over VA exchange irregularities barred by Finra

Ellen Vratoric twice failed to appear at Finra inquiries into VA exchange.
JUN 04, 2018

The Financial Industry Regulatory Authority Inc. has barred former Huntington Investment Co. broker Ellen Vratoric for failing to take part in two hearings looking into customer complaints regarding a variable annuity exchange. In March 2016, Ms. Vratoric was discharged from Huntington after a firm compliance specialist discovered "a document integrity issue related to a variable annuity purchase," according to her BrokerCheck record. "The document in question is 1035 paperwork," the record states. "The signature page on the document was undated, there appeared to be use of WhiteOut and the signature page appeared to be re-used." Ms. Vratoric, who is no longer employed in the securities industry, began her career in 1993 and was affiliated with four other firms before joining Huntington in 2008.

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