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Mr. Lee is co-chair of the Securities Enforcement Defense Group and represents public companies, directors and officers of public companies, investment advisers, hedge funds and hedge funds managers, other market professionals, and individuals in regulatory and criminal matters. He also represents individuals and entities in securities-related disputes in state and federal court and FINRA arbitration.
Prior to joining the Firm, Mr. Lee was a Senior Counsel in the U.S. Securities and Exchange Commission’s Division of Enforcement. During his six years at the Commission, Mr. Lee conducted investigations relating to financial fraud, auditor independence, audit failure, selective disclosure, insider trading, disclosure of insider transactions, broker-dealer misconduct, market manipulation, unregistered offerings, spinning, and bribery of foreign government officials. Mr. Lee worked on parallel criminal investigations with U.S. Attorneys Offices, the U.S. Department of Justice’s Criminal Division and Canadian criminal authorities and conducted investigations with the Federal Reserve Bank of New York and the Department of the Treasury. In addition to his investigative duties, Mr. Lee also represented the Commission in contested enforcement actions in federal court. His primary practice areas are SEC enforcement matters, securities litigation, and regulatory compliance.
PROFESSIONAL ACTIVITIES
Mr. Lee has commented nationally on such issues as hedge fund regulation and financial fraud, appearing in The Washington Post, Compliance Week, CNN, and HedgeWorld.
Mr. Lee is a Member of the State Bar of California, Bar Association of San Francisco, the National Asian Pacific American Bar Association, Asian American Bar Association of the Greater Bay Area, and Association of Securities and Exchange Commission Alumni.
EDUCATION
Mr. Lee received his LL.M. in Securities and Financial Regulations, with distinction, from Georgetown University Law Center in 1998 and his J.D. from Santa Clara University School of Law in 1997, where he was a Law Faculty Scholar and member of the Moot Court Board. He was also a judicial extern for Associate Justice Joyce Kennard of the Supreme Court of California. Mr. Lee earned his B.A. in Economics from UCLA in 1994.
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