Frank A. Yee, Jr.

Experienced attorneys understand that while knowing the law is important, understanding the facts is far more critical to their client’s success. With more than twenty years of experience, Attorney Yee knows the facts and has the experience and skill required to provide you with sound, legal advice.

Attorney Yee is a seasoned securities lawyer. As a member of the Financial Industry Regulatory Authority (FINRA) Dispute Resolution Board of Arbitrators and a former Compliance Registered Options Principal and securities compliance professional at a major broker-dealer, Attorney Yee is not only well versed in the rules and regulations governing the securities industry, he is also intimately familiar with the specialized functions and activities of many of the departments in a typical brokerage firm.  During his lengthy tenure in the securities industry, he drafted and maintained a wide variety of supervisory manuals and responded to hundreds of regulatory inquiries and investigations from various industry regulators, including:

  • Securities and Exchange Commission
  • New York Stock Exchange
  • National Association of Securities Dealers (now known as FINRA)
  • Municipal Securities Rulemaking Board
  • Chicago Board of Options Exchange
  • Miscellaneous regional exchanges

He also responded to hundreds of regulatory complaints concerning a wide variety of topics, with particular emphasis on product suitability, online trading, best execution and stock transfers. During such time, he gained invaluable experience regarding:

  • Common Stock
  • Preferred Stock
  • Corporate Bonds
  • Municipal Bonds
  • Mutual Funds
  • Stock Loans
  • Stock Transfers
  • Margin Sell-Offs
  • Online Trading
  • Online Solicitation
  • Short Sales
  • Repurchase Agreements
  • Reverse Repurchase Agreements
  • Complex Option Strategies

 

In short, whether you are bringing or defending a claim or responding to a regulatory inquiry, Attorney Yee has the necessary expertise to ensure the protection of your rights and interests.

Attorney Yee also has extensive experience defending the rights of adults and juveniles charged with crimes. Over the last decade, Attorney Yee has successfully gone to court and defended clients charged with such crimes as drug possession, operating a motor vehicle under the influence of alcohol or drugs, gun possession, improper storage of a firearm, restraining order violations, assault and battery and car theft.  He has also defended countless clients in probation violation hearings, as well as in school suspension and expulsion hearings.  Moreover, he has provided sound advice to his clients about how their criminal matters might impact their ability to drive or other areas of their life, such as at home, work or school.  In short, if you have been charged with a crime and you need fast, reliable answers to all of your questions, contact Attorney Yee for a private consultation.

As the father of a child with language based learning issues, Attorney Yee learned long ago how painful it can be for a parent to watch his or her child struggle at school because of a learning difference.  He then learned how frustrating and angry it can be for a parent as they try to understand on their own the laws and regulations governing special education law.  His experiences led him to learning the law about individual educational plans (IEP’s) and 504 Plans and providing reasonably priced legal representation to families needing help in their disputes with school districts over special education services.  Attorney Yee takes great pride in ensuring his child clients receive the education to which they deserve.

As someone who was both raised in a working class family and who had his own business, Attorney Yee understands fully how our country’s employment, wage and discrimination laws impact employers and employees. In short, from an early age, Attorney Yee saw both sides of employee/employer disputes.  As a result, he takes a balanced and reasoned approach to advising his clients in his representation of employees and employers in claims for age, sex and handicap discrimination, wrongful termination and breach of express and implied contracts.   Moreover, always conscious of cost, whether he is drafting an employee handbook for a small business owner or negotiating an employee contract, Attorney Yee takes great pains to ensure he does so at an affordable price.

Bar Admissions:

  • Massachusetts, 1993
  • U.S. Court of Appeals 1st Circuit, 1995

Education:

Suffolk University Law School, Boston, Massachusetts, 1992, J.D.
Honors: Honorable Mention, First Year Moot Court Brief Writing Competition

American International College, Springfield, Massachusetts, 1987, Bachelor of Science
Honors: Dean’s List, Major: International Business

Professional Associations and Memberships:

  • FINRA Dispute Resolution Board of Arbitrators, 2003 – Present
  • Panel Arbitrator

Past Employment Positions:

  • Fidelity Brokerage Services, LLC, Senior Compliance Advisor, 1996 – 2005
  • Monahan & Padellaro, Associates, 1995 – 1996

Fraternities/Sororities:

  • Tau Kappa Epsilon

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