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Yee Mei Chan is Facing an Investor Dispute

Yee Mei Chan (CRD #: 5581814), a previously registered broker with Charles Schwab, is the subject of an investor dispute. This disclosure appears on her BrokerCheck record, accessed on December 1, 2023. Keep reading if you have questions about her alleged conduct. 

On September 26, 2023, an investor alleged that Yee Mei Chan improperly solicited him to resume activities in a TD Ameritrade account. The investor is seeking $320,000. 

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Improperly soliciting an investor may violate this rule. 

Background Information 

Yee Mei Chan 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 

During her 14 years of experience, Yee Mei Chan has registered with the following firms: 

  • Charles Schwab & Co (CRD #: 5393) 
  • TD Ameritrade (CRD #: 7870) 
  • Scottrade (CRD #: 8206) 

Kurta Law Can Help 

If you have worked with Yee Mei Chan and have concerns about your investments, don’t hesitate to contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that 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. Do not let securities fraud go unchecked. Start your recovery process today.

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