Investor Files Complaint Against Western International’s Helen Lin

Rolling Hills Estates, California financial advisor Helen Lin (CRD# 4556198) recently received an investor complaint alleging her conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with Western International Securities, having previously been registered with Financial West Group. 

Ms. Lin’s BrokerCheck report discloses one investor complaint. Filed in September 2022, it alleges that as a representative of Western International Securities, she acted negligently and breached her fiduciary duty in connection with an investment in corporate bonds.  (The fiduciary standard, for reference, stipulates that investment advisors must put their clients’ interests above their own interests, make full disclosures regarding any conflicts of interest they might have, and operate in good faith and with loyalty to the client.) The pending complaint alleges damages of $100,000. In a statement included in the complaint’s disclosure, Ms. Lin wrote that she “denies any and all allegations.”

According to the Financial Industry Regulatory Authority, Helen Lin holds 19 years of securities industry experience. Based in Rolling Hills Estates, California, she has been a broker and an investment advisor with Western International Securities since 2017. Her previous registrations include Financial West Group (Pasadena, California; 2015-2017), First Brokerage America (Rowland Heights, California; 2007-2015), Citicorp Investment Services (Pasadena, California; 2005-2006), WM Financial Services (Irvine, California; 2003-2005), American Express Financial Advisors (Los Angeles, California; 2002-2003), and IDS Life Insurance Company (Minneapolis, Minnesota; 2002-2003). Her credentials include the passage of three securities industry qualifying exams: the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; and the Uniform Combined State Law Examination, or Series 66. She is licensed in California, Florida, and Hawaii. (Information current as of October 28, 2022.)

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