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 activities of many of the departments in a typical brokerage firm.

To schedule a consultation with experienced Boston securities law attorney Frank Yee, contact us by phone or email.

Yee & Associates, P.C. provides securities clients with thorough legal advice on all securities industry matters including:

  • Stock transfers and stock lending
  • Government, corporate, and municipal bonds
  • Complex options strategies (debit spreads, credit spreads, long straddles, short straddles, etc.)
  • Addressing regulatory complaints and inquiries
  • Product suitability/unsuitability issues
  • Online trading
  • Best execution
  • Mutual funds
  • Margin sell-offs
  • Markups and markdowns
  • “Repos” and reverse “repos”
  • Short selling
  • Fraud

Providing sound advice to small and medium sized broker dealers and investment advisers

Whether it is responding to a SEC inquiry, advising a client on its books and records obligations, or assisting in the development of a client’s annual compliance meeting, we provide quality representation at an affordable price.
An area of securities work that we excel at in particular is responding to regulatory inquiries, and in bringing and defending against claims on behalf of our clients. Experience has shown us that in many instances, a very effectively written letter can diffuse a situation that would otherwise likely result in formal disciplinary action.

His work in the securities industry led Attorney Yee to become an NASD arbitrator and also to write and maintain a number of supervisory manuals for his firm. Many of his responsibilities required close work with individuals from various regulatory agencies such as the NASD, SEC, NYSE and CBOE. The high level of familiarity with and knowledge of the nature of the securities industry benefits the clients we serve now every day.

If you have a concern in the area of securities law and need to contact an experienced Massachusetts securities arbitration lawyer, call Yee & Associates, P.C. today to discuss your situation.

Call or Email us to Arrange a Confidential Consultation.

Evening, Weekend, and Early Morning Appointments Available.

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