Jim Pratt-Heaney Involved in Half-Million Dispute
Jim Pratt-Heaney (CRD #: 1514331), an investment adviser registered with Coastal Bridge Advisors, is involved in a six-figure investor dispute, according to his Broker Check record, accessed on September 13, 2021. Details are provided below.
On July 21, 2021, investors alleged that Jim Pratt-Haney failed to perform his due diligence regarding the recommendation of private placement funds. The investors are seeking $525,000; the dispute is pending.
Jim Pratt-Heaney Background Information
Jim Pratt-Heaney has passed the following exams:
- Series 65 Uniform Investment Adviser Law Examination
- Series 63 Uniform Securities Agent State Law Examination
- Series 3 National Commodity Futures Examination
- Series 7 General Securities Representative Examination
Jim Pratt-Heaney has worked with the following firms:
- Purshe Kaplan Sterling Investments (CRD #: 35747)
- Nutmeg Securities (CRD #: 18975)
- Merrill Lynch, Pierce, Fenner & Smith (CRD #: 7691)
- Smith Barney (CRD #: 7059)
- Prudential Securities (CRD #: 7471)
- Shearson Lehman Hutton (CRD #: 7506)
- F. Hutton & Company (CRD #: 235)
Kurta Law Can Help
If you worked with Jim Pratt-Heaney and you have concerns about your investments, contact Kurta Law today. Call 877-600-0098 or email firstname.lastname@example.org.