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Bernard Yip is the Subject of an Investor Dispute

Bernard Yip (CRD #: 2391643), a broker registered with Raymond James Financial Services, is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on July 19, 2024. Details concerning this dispute are provided below. 

Investor Dispute

On May 31, 2024, an investor alleged that Bernard Yip was responsible for missing funds. 

High Standards of Commercial Honor

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Misappropriation would violate this rule. 

Background Information 

Bernard Yip 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 7 General Securities Representative Examination 
  • Series 6 Investment Company Products / Variable Contracts Representative Examination 

He is a registered broker in 21 states and is a registered investment adviser in Hawaii and Texas. 

During his 30 years of experience, Bernard Yip has registered with six firms: 

  • Raymond James Financial Services (CRD #: 6694) 
  • Raymond James Financial Services Advisors (CRD #: 149018) 
  • Bancwest Investment Services (BWIS) (CRD #: 29357) 
  • Mutual Securities (CRD #: 13092) 
  • MetLife Securities (CRD #: 14251) 
  • Metropolitan Life Insurance Company (CRD #: 4095) 

Kurta Law Can Help 

If you have worked with Bernard Yip and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email 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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