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Helen Lin Allegedly Engaged in Negligence

Helen Lin (CRD #: 4556198), a broker registered with Western International Securities, allegedly acted negligently, according to her BrokerCheck record, accessed on December 7, 2022. If you want to know more about her alleged conduct as a broker, keep reading.

Investor Dispute

On September 19, 2022, an investor filed a dispute alleging Helen Lin engaged in negligent conduct. The client seeks $100,000 in this pending dispute.

What qualifies as broker negligence?

Many kinds of misconduct can qualify as broker negligence. Examples include misrepresentations or omissions of fact, unauthorized trading, and unsuitable investment recommendations.

Investors who feel their losses are the result of broker negligence may be able to recover their funds by pursuing FINRA arbitration.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Broker negligence violates FINRA Rule 2010. 

Background Information

Helen Lin has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

Helen Lin is a registered broker in California, Florida, and Hawaii. She is also a registered investment adviser in California.

She has also worked for the following firms:

  • Financial West Group (CRD#:16668)
  • First Brokerage America (CRD#:43431)
  • Citicorp Investment Services (CRD#:23988)
  • WM Financial Services (CRD#:599)
  • American Express Financial Advisors (CRD#:6363)
  • IDS Life Insurance Company (CRD#:6321)

Kurta Law Can Help

If you worked with Helen Lin and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.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. 

 

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