Haiguang Yin (CRD #: 3249933), a broker registered with Cetera Investment Services, is involved in a client dispute over unsuitable investments, according to his BrokerCheck record, accessed on December 2, 2020.

On October 8, 2020, a client alleged that Mr. Yin recommended unsuitable investments. The client is seeking $175,000; the dispute is pending.

On September 23, 2019, a client alleged that Haiguang Yin misrepresented a financial product. The client sought $49,034, but the dispute was denied by the firm and did not enter arbitration.

On August 6, 2014, clients alleged that they were not told about a penalty to withdraw money from a certain security. They sought $23,440.91 and the dispute settled for that exact amount.

Haiguang Yin has passed the Series 65 Uniform Investment Adviser Law Examination, the Series 63 Uniform Securities Agent State Law Examination, the Securities Industry Essentials Examination, and the Series 7 General Securities Representative Examination. He is a registered broker in California, Texas, and Washington, and he is a registered investment adviser in California.

Haiguang Yin is registered as both a broker and an investment adviser. He has previously worked for the following firms:

  • Cetera Investment Services (CRD #: 15340)
  • LPL Financial (CRD #: 6413)
  • Uvest Financial Services Group (CRD #: 13787)
  • UCB Asset Management (CRD #: 141000)
  • UCB Investment Services (CRD #: 125574)
  • IFMG Securities (CRD #: 14416)
  • AXA Advisors (CRD #: 6627)
  • The Equitable Life Assurance Society of the United States (CRD #: 4039)

If Haiguang Yin was your broker and you have questions about your investments, don’t hesitate to contact the securities attorneys of Fitapelli Kurta. Call (877) 238-4175 or email info@fkesq.com for a free case consultation with a securities attorney.

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