Shelley Helmerick Terminated by Charles Schwab
Shelley Helmerick (CRD #: 2888915) was terminated by Charles Schwab, according to her BrokerCheck record, accessed on March 6, 2023. If you have questions regarding her termination, keep reading.
On September 30, 2021, Shelley Helmerick was fired by Charles Schwab following allegations that she had engaged in actions that were inconsistent with the firm’s policies related to mutual funds. She was under investigation by the firm at the time of her firing.
Investors can read more about mutual fund misconduct here.
FINRA Rule 2010
FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of mutual fund policies may violate this rule.
On June 3, 2016, Shelley Helmerick became the subject of a $32,980 civil lien.
Shelley Helmerick has passed the following exams:
- Series 66 Uniform Combined State Law Examination
- Series 63 Uniform Securities Agent State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 7 General Securities Representative Examination
Kurta Law Can Help
If you worked with Shelley Helmerick and you have concerns about your investments, please contact us today at 877-600-0098 or email@example.com for a free consultation.
For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.