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, Attorney Yee not only understands the laws and regulations governing the securities industry, he knows how the industry works and how to use that knowledge to to fight against stockbroker fraud, commercial negligence and other investment wrongdoing.   If you want to be protected against fraudulent and negligent investment activity or stop needless losses by fighting back against bad broker contact and securities fraud, call Yee & Associates to speak with an experienced securities lawyer.

Securities Law

For more than a decade, Attorney Frank Yee worked inside the securities industry as a registered representative and securities compliance professional. As a result of this experience, Mr. Yee has a high level of legal proficiency regarding the rules and regulations governing the industry, as well as an intimate understanding of the specialized functions and...

Suitability and Stockbroker Fraud

As a former securities industry insider, Attorney Frank Yee is highly qualified to assist investors in pursuing justice when brokers have wrongfully put investments at risk through acquisition of unsuitable investment products.   If you believe your investment professional may have negligently or intentionally sold an investment product to you that fails to meet your investment objectives...

Ratings and Reviews