Last Updated: July 2025 — Alameda, CA
Here’s what you need to know about Alameda, CA, stockbroker Timothy Richard Yee:
- Name: Timothy Richard Yee
- CRD Number: 2492578
- Current Employer: Independent Financial Group, LLC
- Primary Location: Alameda, CA
- Function: Stockbroker / Financial Advisor
- Prior Employers: LPL Financial LLC, SII Investments, Inc., AIG Financial Advisors, Inc., SunAmerica Securities, Inc., T. Rowe Price Advisory Services, Inc., T. Rowe Price Investment Services, Inc., Banc of America Investment Services, Inc., BA Investment Services, Inc., Wells Fargo Securities Inc.
- DBA: Green Retirement, Inc.; B Corporation
- Can Timothy Yee be sued in FINRA arbitration? Yes
- Discharged by a prior employer: Yes
- Sanctioned by FINRA: Yes
- Pending Customer Dispute Amount: $126,000
If you’ve sustained damages from Mr. Yee, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Timothy Richard Yee As Your Stockbroker?
In January 2016, Timothy Yee agreed to FINRA sanctions (FINRA Docket No. 2015045798701) for violating industry rules related to private securities transactions. He and his spouse purchased securities in privately held companies using personal funds without providing written notice to or obtaining approval from his member firm, LPL Financial. This conduct violated FINRA Rule 3280 (Private Securities Transactions of an Associated Person). Yee also inaccurately stated on a firm questionnaire that he had not participated in such transactions and solicited firm clients to invest in a company without approval. The violation resulted in a $7,500 fine and a 15-business-day suspension.
In a pending customer dispute filed in May 2025 in the Superior Court of California, Alameda County (Case No. 25CV117981) a customer of Independent Financial Group alleges that Yee recommended a non-traded REIT investment that was unsuitable for the client’s investment objectives. The client is seeking $126,000 in damages.
Alternative Investments: These are assets that are not stocks, bonds or cash. Alternative investments generally fall within five categories: hedge funds, private capital, natural resources (oil and gas, energy), real estate (REITs) and infrastructure. They are typically less liquid that conventional investments, less regulated with higher fees and generally higher risk. For more investigations involving Alternative Investments, see this.
Mr. Yee was discharged from LPL Financial LLC in 2015, due to allegations that he participated in private securities transactions without providing written disclosure to and obtaining approval from the firm, a violation directly tied to the same misconduct cited in the FINRA action.
Allegations of Broker Misconduct Against Timothy Richard Yee
- Unapproved Private Securities Transactions
- Inaccurate Firm Disclosures
- Solicitation of Firm Customers Without Approval
- Unsuitability Claim
Recover Your Investment Losses Now With Rex Securities Law
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If you have suffered investment losses in an account handled by Timothy Richard Yee, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL, and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors, and broker-dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.