Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 29, 2018 indicate that Illinois-based broker/adviser Stephen Tracy has received a pending customer dispute and was discharged from his former employer in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Tracy (CRD# 4655365).
Stephen Tracy has spent 14 years in the securities industry and is currently based in Robinson, Illinois. He was registered with Edward Jones in Robinson, Illinois from 2003 until March 2018. He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on February 24, 2007; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 19, 2003; and Series 7 (General Securities Representative Examination), which he obtained on June 16, 2003. He is a registered broker and investment adviser with four US states—Illinois, Indiana, Nebraska, and Ohio—and one self-regulatory organization (SRO), FINRA.
According to his BrokerCheck report, he has received one pending customer complaint and two denied customer complaints, and he was discharged from his former employer in connection to alleged rule violations.
In March 2018 he was terminated from his position at Edward Jones in connection with “concerns” that he failed to contact certain customers on the day that transactions were made in their accounts.
In 2014 a customer alleged Stephen Tracy, while employed at Edward Jones, breached contract and committed RICO violations. The customer is seeking $10,000 in damages in the pending complaint.
In 2009 a customer alleged Stephen Tracy, while employed at Edward Jones, provided misleading advice in connection with a mutual fund investment. The customer sought at least $5,000 in damages in the complaint, which was denied.
If you have complaints regarding Stephen Tracy, call the experienced attorneys at Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recoup your losses. All cases are taken on contingency: we only receive payment if and when you recover money. You may have a limited window to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.