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Lien Lee Resigns from Charles Schwab & Company

Lien Lee (CRD #: 4280557), a broker formerly registered with Charles Schwab & Company, resigned from that firm, according to his BrokerCheck record, accessed on June 7, 2023. If you want to know more about his alleged conduct as a broker, keep reading.

Resignation from Charles Schwab & Company

On April 21, 2023, Lien Lee resigned from Charles Schwab & Company following allegations concerning his adherence to his branch’s check deposit policy and whether his notes in Salesforce were supported by call log entries.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of many other rules may also qualify as violations of FINRA Rule 2010.

Background Information

Lien 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 7 – General Securities Representative Examination
  • Series 24 – General Securities Principal Examination

He previously worked for the following firms:

  • Charles Schwab & Company (CRD#:5393)
  • National Planning Corporation (CRD#:29604)
  • Merrill Lynch, Pierce, Fenner & Smith (CRD#:7691)
  • Scottrade (CRD#:8206)
  • White Pacific Securities (CRD#:42505)

Kurta Law Can Help

If you worked with Lien 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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