Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 23, 2017 indicate that former Ohio-based Huntington Investment Company broker Tracy Lockmiller was recently discharged from her former employer in connection to alleged policy violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Lockmiller (CRD# 2474842).
Tracy Lockmiller has spent 21 years in the securities industry and was most recently registered with The Huntington Investment Company in Bowling Green, Ohio (2013-2017). Previous registrations include State Farm VP Management in Findlay, Ohio (2012-2013); Fifth Third Securities in Bowling Green, Ohio (2011-2012); Chase Investment Services Corporation in Findlay, Ohio (2005-2011); Banc One Securities Corporation in Chicago, Illinois (2002-2005); NYLife Securities in New York, New York (2001-2002); MML Investors Services in Springfield, Massachusetts (2000-2001); Merrill Lynch in New York, New York (1996-2000); Key Investments in Cleveland, Ohio (1995); and Society Investments (1994-1995). She has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which she obtained on February 21, 1995, and Series 6 (Investment Company Products/Variable Contracts Representative Examination) which she obtained on November 18, 1994. She is currently not registered as a broker with any state, firm or self-regulatory organization (SRO).
According to her BrokerCheck report, she was terminated from her former employer in connection to alleged rule violations.
In November 2017 she was terminated from her position at The Huntington Investment Company following allegations she violated firm policies with respect to incoming and outgoing correspondence, the receipt of customer complaints, and her failure of phishing email simulation tests.
If you or someone you know has a complaint regarding Tracy Lockmiller, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be able to recover lost funds. Fitapelli Kurta accepts all cases on contingency: we only get paid if and when you collect 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.