Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Haiguang Hai Yin (also known as Hai Guang Yin, and John Yin) [CRD: 3249933, City of Industry, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, John Yin worked for Cetera Investment Advisers LLC from January 21, 2014, to June 26, 2023, and Cetera Investment Services LLC from January 29, 2013, to June 26, 2023. He joined Packerland Brokerage Services Inc. on March 13, 2024. Read below for additional information about John Yin’s disclosures.
Particularly, on April 16, 2024, a Cetera Investment Services LLC client filed FINRA Arbitration No. 24-00820 about Haiguang Yin. Supposedly, Yin misrepresented investment risks, made unsuitable recommendations, and breached his fiduciary duty. Because of this, the client allegedly sustained damages on real estate securities. So, the client requested $500,000-$1,000,000 in compensation from Cetera Investment Services LLC or Yin. Evidently, this arbitration is pending a resolution.
Particularly, on September 23, 2019, a Packerland Brokerage Services Inc. client filed a complaint about Haiguang Yin. Supposedly, Yin misrepresented a real estate security when it was purchased. Because of this, the client allegedly sustained damages. As a result, the client requested $49,034.90 in compensation from Packerland Brokerage Services Inc. or Yin. The firm denied this complaint.
Also, a client of Cetera Investment Services LLC contested Haiguang Yin’s sales practices, according to a complaint. Allegedly, Yin did not inform the client about the penalty for withdrawing their money from the fixed annuity. Therefore, Cetera Investment Services LLC opted to settle the matter on October 3, 2014, by compensating the client in the amount of $23,440.91.
Did you experience losses because of any sales practice violation by financial advisor / securities broker Haiguang Yin? If you have, reach out to Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney about your legal options. Soreide Law Group has recovered losses for investors throughout the United States, works on a contingency fee basis, and advances all costs. Yin and brokerage firms Yin worked for deny any allegations of sales practice violations. Contact Soreide Law Group for more information.
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