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Broker Robyn Lee Hears Complaints for TIC Investments

Robyn LeePublicly available records published by the Financial Industry Regulatory Authority (FINRA) on March 2, 2016 indicate that former California-based Independent Financial Group broker Robyn Lee is currently not licensed to act as a broker or an investment adviser. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Lee (CRD# 2846656).

Robyn Lee has spent 18 years in the securities industry and was most recently registered with Independent Financial Group in San Mateo, California (2007-2015). Previous registrations include Berthel Fisher & Company in Burlingame, California (2004-2007); ePlanning Securities in Roseville, California (2002-2004); Securities America in La Vista, Nebraska (2000-2002); Passport Securities in Burlingame, California (1999-2000); Capital Brokerage Corporation in Richmond, Virginia (1997-1999); and McClurg Capital Corporation in Rafael, California (1997-1998). She is currently not registered with any state or firm.

According to her BrokerCheck report, Robyn Lee is the subject of ten customer complaints, two pending customer complaints, and one pending regulatory sanction.

In July 2015 a customer alleged Robyn Lee, while employed at Independent Financial Group, recommended an unsuitable investment, breached her fiduciary duty, breached her contract, and omitted material facts related to a tenant-in-common (TIC) investment. The complaint settled in November 2015 for $35,000.

  • In May 2015 a customer alleged Robyn Lee, while employed at Independent Financial Group, breached her fiduciary duty, misrepresented and omitted material facts related to an investment, and recommended unsuitable TIC investments. The complaint settled in August 2015 for $95,000.
  • In 2015 a customer alleged Ms. Robyn Lee, while employed at Independent Financial Group and Berthel Fisher, misrepresented material facts related to and recommended unsuitable TIC investments. The customer is seeking $1,369,007 in the pending complaint.
  • In 2013 a customer alleged Robyn Lee, while employed at Independent Financial Group, recommended an unsuitable structured notes investment. The complaint settled for $10,000.
  • In 2012 a customer alleged Ms. Lee, while employed at Independent Financial Group, committed fraud, acted negligently, breached her fiduciary duty, and recommended unsuitable investments. The complaint settled in 2013 for $188,000.
  • In 2012 a customer alleged Ms. Lee, while employed at Berthel Fisher, misrepresented and omitted material facts related to an unsuitable investment. The complaint settled in 2014 for $132,500.
  • In 2009 a customer alleged Lee, while employed at Independent Financial Group and Berthel Fisher, misrepresented material facts and made an unlawful investment recommendation. The complaint settled in 2010 for $114,200.
  • In 2008 a customer alleged Ms. Lee, while employed at Berthel Fisher, did not disclose the risks associated with using a qualified intermediary. The complaint settled in 2013 for $690,000.

If you or someone you know has lost money investing with Robyn Lee, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be able to recover lost funds. Fitapelli Kurta accepts every case on contingency: we only receive payment if and when you collect money. Time to file your claim might be limited, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.