Last Updated: August 2025 (City of Industry, CA )
John Yin Investigation Summary
Here’s what you need to know about City of Industry, CA, stockbroker Hai Yin:
- Name: Mr. Haiguang Yin
- Current Employer: Not currently registered with FINRA
- Previous Firms: Packerland Brokerage Services, Cetera Investment Services, LPL Financial
- Function: Stock Broker/ Financial Advisor/ Registered Investment Advisor
- Aliases: Hai Guang Yin, Haiguang Hai Yin, John Yin
- Primary Location: City of Industry, CA
- CRD 3249933
- Can John Yin be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Highest Settlement or Award: $23,440
- Two Pending Customer Disputes Seek Damages of $500,000-$1,000,000
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With John Yin As Your Stockbroker?
In 3/2025 a customer of Cetera filed a FINRA arbitration alleging that Yin made an unsuitable recommendation to invest in a real estate security. Damage amount not yet specified in this pending case.
In 4/2024 a customer of Cetera Investment Services filed a FINRA arbitration alleging that John Yin made unsuitable recommendations to invest in real estate securities and other investments causing damages of between $500,000-$1 million. This matter is currently pending.
In 2014 a customer of Cetera was paid $23,440 to resolve allegations that John Yin did not advise the customer about the penalties they faced when withdrawing money from an annuity.
[LEARN MORE]:
See this for our prior investigations of cases involving Annuities
Allegations of Broker Misconduct Against Former Cetera Broker John Yin
Customers of John Yin have alleged the following wrongdoing in connection with the handling of customer accounts:
- Unsuitable Investment Recommendations
- Misrepresentation
- Failed to properly advise of risks
[LEARN MORE]: Firms Have a Duty to Supervise their Financial Advisors (FINRA Rules 3110 & 2090)
Brokers and their firms have a duty to comply with the FINRA suitability rule which requires that they have a reasonable basis to believe that a recommendation is suitable for the customer.
[LEARN MORE]: FINRA Rule 2111- suitability -Regulation Best Interest
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Recover Your Investment Losses Now With Rex Securities Law
[LEARN MORE]: Our Investigations of other Cetera brokers
Investigation of Cetera Financial Brokers-Lawsuits, Arbitrations & Disputes
If you have suffered investment losses in an account handled by John Yin, 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.