Investors apparently complained about securities broker Timothy Richard Yee [CRD: 2492578, Alameda, California], according to publicly available information on FINRA BrokerCheck. Evidently, Yee has been registered with Independent Financial Group LLC since July 8, 2015, and previously worked for LPL Financial LLC from May 30, 2014, to June 10, 2015. See the following summary for details about Yee’s disclosures, including investor complaints and regulatory actions.
Particularly, on August 29, 2025, an Independent Financial Group LLC client filed FINRA Arbitration No. 25-01806 about Timothy Yee. Mainly, the client alleged that Yee made unsuitable recommendations, breached his fiduciary duty, and committed elder abuse. For this reason, the client allegedly sustained damages associated with real estate investment trusts. As a result, the client requested $174,000 in compensation from Independent Financial Group or Yee. It appears that this arbitration is pending a resolution.
Evidently, FINRA issued Case: 2015045798701 on January 13, 2016, sanctioning Timothy Yee for infractions. Allegedly, Yee participated in private securities transactions without providing written notice or obtaining approval from his firm and inaccurately reported his activities on a firm questionnaire. Consequently, Yee was fined $7,500 and suspended for 15 business days from February 1, 2016, to February 22, 2016.
Are you concerned regarding investments you made with Timothy Yee? You can contact Soreide Law Group at (888) 760-6552 or online and consult with a securities lawyer about a potential recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the country. Also, the firm works on a contingency fee arrangement and advances all costs. Yee and brokerage firms Yee worked for deny accusations of sales practice violations.
Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: CONCORDE INVESTMENTS SERVICES, LLC, and BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC (Respondents). The Claimants are in their late 70s, retired, and according to the lawsuit, were not looking to take any unnecessary risks with their retirement savings. The Claimants […]
THEODORE WILLIAM BYRER (THEODORE W BYRER, TED BYRER) was registered as a broker with MORGAN STANLEY of Indianapolis, Indiana, from 11/11/2013 - 04/20/2023. He was most recently registered with INTERNATIONAL ASSETS ADVISORY, INC of Westfield, Indiana, from 05/09/2023 - 09/17/2024. According to his BrokerCheck CRD report, dated 7/23/2026, THEODORE W BYRER was suspended for 14 […]
MARK LAWRENCE SULLIVAN (MARK SULLIVAN, MARK L SULLIVAN), formerly with UBS Wealth Management USA in New York City, was fined $10,000 and suspended for three months by the Financial Industry Regulatory Authority (FINRA) over allegations that he traded in customers’ accounts without the proper approval. Sullivan was previously registered both as a broker and as an […]
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