TRACY LYNN HELMER is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 3933 VENETIAN DRIVE, NEWBURGH, IN, 47630.
TRACY LYNN HELMER has worked at LPL FINANCIAL LLC since November 12, 2012
Disclosure History
TRACY LYNN HELMER has 2 Disclosure Event(s).
Date: November 04, 2010 Category: Customer Dispute Allegations: CLIENT ALLEGES REPRESENTATIVE DID NOT FOLLOW INSTRUCTIONS TO SELL SECURITIES IN THE ACCOUNT. Damage Amount Requested: $15,000.00 Broker Comment: After leaving my firm in 2010, a former client filed a complaint alleging that in 2008, she gave me instructions to sell an investment and that I did not follow that instruction. After a thorough investigation, it was confirmed by emails between the client and I, that the allegations were false. The broker-dealer that conducted the investigation denied the complaint because the client's own emails proved that she did not give such instruction and she clearly states that she found an alternative source for the funds she needed, and was glad that she hadn't sold the investments since the market was down.
Date: September 17, 2010 Category: Employment Separation After Allegations Firm Name: LPL FINANCIAL Termination Type: Discharged Allegations: TERMINATED FROM AFFILIATED BANK PROGRAM FOR FAILURE TO FOLLOW BANK POLICY AND PROCEDURES. Broker Comment: Firm comment: After reviewing the circumstances surrounding Ms. Helmer's termination from the bank, consistent with LPL's internal review there were no findings, subsequently LPL approved Ms. Helmer to join LPL as a Financial Advisor. Ms. Helmer's comment: I did not violate any policies or procedures. The matter has been resolved, but I am bound by a confidentiality agreement with the released parties, not to provide additional details.
More Information
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A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
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