TRACI KIM MILLER is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 110 N HIGH ST, MORRISTOWN, TN, 37814.
TRACI KIM MILLER has worked at LPL FINANCIAL LLC since November 28, 2011
Disclosure History
TRACI KIM MILLER has 1 Disclosure Event(s).
Date: September 27, 2011 Category: Customer Dispute Allegations: THE CLIENT ALLEGED THAT SHE WAS NEVER ADVISED OF THE COSTS ASSOCIATED WITH SURRENDERING THE ANNUITY CONTRACT AND PURCHASING THE MUTUAL FUNDS. THE CLIENT ADVISED THAT SHE WANTED TO EXECUTE A 10 DAY FREE LOOK AND CONTACTED THE INSURANCE COMPANY. THE CLIENT ALLEGED THAT SHE LOST $9,470.00 IN THIS TRANSACTION. Damage Amount Requested: $9,470.00 Broker Comment: THE CLIENT SIGNED THE ANNUITY LIQUIDATION DOCUMENT WHICH CLEARLY STATED THAT THERE WAS A 3.00% FEE TO SURRENDER THE CONTRACT. THE CLIENT ALSO SIGNED A SWITCH LETTER STATING THAT EACH QUARTER SHE QUESTIONED THE HIGHS FEES ASSOCIATED WITH THE ANNUITY. SHE INDICATED THAT THERE WERE LOWER FEES ON THE NEW ACCOUNT.THE CLIENT RECEIVED THE $100,000.00 BREAKPOINT ON THE MUTUAL FUND PURCHASES. THE CLIENT'S REQUEST FOR CANCELLATION OF THE MUTUAL FUNDS AND THE RETURN OF THE FUNDS TO THE ANNUITY COMPANY WAS DENIED.
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