RedFlag, Allegation and/or Complaint against TRACY E MILLER
Disclosure #1 for TRACY MILLER
- Event Date: 4/24/2013
- Disclosure Type: Financial
- Resolution: Final
- Type: Bankruptcy
- Disposition: Discharged
- Broker Comment: IN 2011, I LOST MY JOB. I WAS THE PRIMARY INCOME EARNER IN OUR HOUSEHOLD. IN ADDITION, WE LOST OUR INSURANCE BENEFITS. THE COBRA COVERAGE OFFERED FROM MY PREVIOUS EMPLOYER WAS $1,400/MONTH. AT THE TIME, WE WERE THE PRIMARY CAREGIVERS OF GRANDPARENTS WHO WERE RECENTLY DIAGNOSED WITH EARLY STAGES OF [REDACTED. THEIR CARE REQUIRED BOTH TIME AND FINANCIAL COMMITMENTS TO MOVE THEM FROM A HOME OF 60 YEARS TO THE PROPER CARE FACILITIES. EVENTUALLY, I WAS ABLE TO FIND EMPLOYMENT WHICH PROVIDED THE FLEXIBILITY NEEDED TO CARE FOR OUR GRANDPARENTS; HOWEVER, IT WAS AT A REDUCTION IN INCOME AND OFFERED NO BENEFITS. REALIZING WE HAD AMASSED A LARGE DEBT DURING THIS TIME OF UNEMPLOYMENT AND RECENTLY DISCOVERING OUR HOME WAS APPRAISED AT $30,000 LESS THAN WHAT WE STILL OWED ON OUR MORTGAGE, WE SOUGHT THE ADVICE OF A FINANCIAL COUNSELOR AND ATTORNEY WHO RECOMMENDED FILING CHAPTER 7 BANKRUPTCY. SINCE THIS TIME, WE HAVE CREATED A FINANCIAL PLAN AND WORKED HARD TO REBUILD OUR CREDIT. WE HAVE NO OUTSTANDING DEBT. DESPITE MY PAST FINANCIAL PROBLEMS, I FEEL MY EXPERIENCE AND I HOW I WAS ABLE TO WORK TO A POSITIVE FINANCIAL OUTCOME WILL BE AN ASSET.
Should I file a FINRA complaint against brokers like TRACY E MILLER?
Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.
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