Tag Archives: PTI Securities & Futures L.P.

PTI Securities Sanctioned For Unauthorized Transactions

October 05, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

PTI Securities & Futures L.P., of Chicago, Illinois, was subject of sanctions sought by the State of Illinois Secretary of State Securities Division, alleging that the firm’s chief compliance officer, Daniel John Haugh, effected an unauthorized transfer of a customer’s funds, causing the customer to sustain $90,000.00 in losses. Case No. 1500161 (Jan. 29, 2016). […]

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PTI Securities Sued For Account Management

October 05, 2017  |   Posted by :   |   Securities Arbitration Claims   |   0 Comments

Thomas Patrick Haugh, of Chicago, Illinois, a stockbroker, commodity futures broker and securities principal currently registered with PTI Securities & Futures L.P., is the subject of a customer initiated investment related arbitration claim, in which the customer sought $2,500,000.00 in damages supported by allegations that the customer’s investment account failed to be managed properly. Case […]

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