Frank A Yee | Attorney
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About Frank
Experienced attorneys understand that while knowing the law is important, a firm grasp of the facts is essential. With more than a decade of experience working for a major securities broker dealer, Attorney Yee knows the facts about the securities industry.
As a member of the NASD 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 the last decade, he has 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
- Municipal Securities Rulemaking Board
- Chicago Board of Options Exchange
- Miscellaneous regional exchanges
He has 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 has 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
- Markups and Markdowns
- "Repos" and Reverse "Repos"
- Complex Option Strategies (debit spreads, credit spreads, long straddles, short straddles, etc.)
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.
However, Attorney Yee's experience is not limited solely to securities law. He also has extensive experience in landlord/tenant law. Having represented both landlords and tenants, Attorney Yee brings a wealth of experience in areas such as tenant evictions and tenant defenses related to security deposit violations, health and building code violations, breaches of the covenant of quiet enjoyment and warranty of habitability, lead paint exposure and retaliatory evictions.
Attorney Yee also has substantial experience representing juvenile criminal defendants and employees pursuing claims for age, sex and handicap discrimination, wrongful termination and breach of express and implied contracts.
Education
American International College Bachelor of Science
Yee & Associates PC Highlights
Employment, Securities, White Collar Crime, Criminal, Other
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