What Did Your Brokerage Firm or Investment Adviser Do Wrong With GWG
Published On: November 23, 2015

Stoltmann Law Offices is investigating Robyn Lee, a former registered representative with Independent Financial Group. Ms. Lee is not currently licensed to act as a broker or investment advisor. Ms. Lee was accused of misrepresenting and omitting material facts, breaching fiduciary duty and recommending unsuitable tenant-in-common (TIC) investments, among other transgressions. TICs are the co-owners of an undivided interest in real property. TICs each own a separate and undivided interest in the same real property and each has an equal right to the possession and use of the property. TIC investments can be risky ones. A broker’s duty is to only recommend investments that are suitable for her clients. She must take into account their age, net worth, portfolio, investment sophistication and investment objectives. If she does not, her firm can be held liable for investment losses, because they have a duty to reasonably supervise her while she is employed there.

Robyn Lee was registered with McClurg Capital Corporation in San Rafael, California from April 1997 until December 1998, Capital Brokerage Corporation in Richmond, Virginia from March 1997 until October 1999, Passport Securities in Burlingame, California from October 1999 until March 2000, Securities America in Lavista, Nebraska from March 2000 until March 2002, EPlanning Securities in Roseville, California from March 2002 until January 2004, Berthel, Fisher & Co. Financial Services in Burlingame from January 2004 until May 2007 and Independent Financial Grop in San Mateo, California from May 2007 until June 2015. She has 11 customer disputes against her, two of which are currently pending. She is not licensed within the industry.

If you or someone you know invested and lost money with Robyn Lee, you may be able to sue her former firm, Independent, for financial losses. Please call our securities law firm to find out how we can help you bring a claim against them. The call is free with no obligation.


The posting on this site are mere OPINIONS and NOT statements of fact in any way whatsoever. The information should not be relied upon and there have been no findings made against the firms or individuals referenced on this site. In addition, this Blog is made available for educational purposes only and incorporates information from the web as well as to give you general information and a general understanding of the law, not to provide specific legal advice. By using this blog site you understand that there is no attorney client relationship between you and Stoltmann Law Offices (161 N Clark Street 16th Floor Chicago, IL 60601). The Blog opinions should not be used as a substitute for competent legal advice from a licensed professional attorney in your state.


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