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Meng Lee Resigns from Pruco Securities

Meng Lee (CRD #: 5755332), a former broker, resigned from her firm, according to her BrokerCheck record, accessed on June 26, 2022. Read on to learn more about Meng Lee’s conduct as a broker.

Resignation from Pruco Securities

On April 18, 2022, Meng Lee resigned from Pruco Securities after allegedly submitting two life insurance applications which contained misrepresentations, violating firm policies by using external email addresses to conduct firm business, and failing to cooperate with an internal investigation.

FINRA Rule 3110 

Rule 3110 requires that firms supervise their brokers’ communications with clients. It is therefore impermissible for brokers to communicate with clients using an outside email address. 

FINRA Rule 2020

Misrepresentation violates FINRA Rule 2020, which prohibits the use of deception, manipulation, and other unethical tactics to influence the purchase and sale of securities.

Background Information

Meng Lee has passed the following exams:

  • Series 65 – Uniform Investment Adviser Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 6 – Investment Company Products/Variable Contracts Representative Examination

In the past, she has worked for the following firms:

  • MML Investors Services (CRD#:10409)
  • Pruco Securities (CRD#:5685)
  • World Group Securities (CRD#:114473)

Kurta Law Can Help

If you worked with Meng Lee 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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