Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tracy Helmer (Helmer), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Helmer recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $13,000.00 on April 16, 2026.
Customer alleges Reg BI violations