Lee, Yoon-Young

Yoon-Young Lee

Lee, Yoon-Young

Yoon-Young Lee

Partner

  • Chair, Broker-Dealer Compliance and Regulation Practice Group

Yoon-Young Lee is a partner in the firm's Securities Department, the chair of the Broker-Dealer Compliance and Regulation Practice Group and a member of the Futures and Derivatives Practice Group. She joined the firm in 1988. Ms. Lee's practice has particular emphasis on broker-dealer regulation and securities compliance policies and procedures. She is also a member of the firm's Management Committee.

Practice

Ms. Lee advises and represents broker-dealers and other financial institutions on various regulatory and compliance matters. She has worked with clients to devise and implement comprehensive policies and procedures to prevent the misuse of confidential information, to avoid conflicts of interests and to achieve compliance with federal securities laws and SRO regulations. She has extensive experience with compliance reviews and audits as well as internal investigations. Her practice includes providing advice regarding information barriers, research analyst independence, insider trading, sales practices, capital markets trading issues, electronic communications, supervision and surveillance measures. 

Professional Activities

Ms. Lee speaks frequently at seminars sponsored by the Securities Industry and Financial Markets Association, on topics relating to securities laws and broker-dealer regulations. She is also a member of the National Asian Pacific American Bar Association, the Women’s Bar Association and the DC Bar Association.

Recognition

  • Selected by her peers for inclusion in the 2010-2018 editions of the Best Lawyers in America in the area of corporate law
  • Recognized as a national leader in financial services regulation: broker dealer regulation in the 2008-2017 editions of Chambers USA: America's Leading Lawyers for Business
  • Selected by Washingtonian magazine as one of the top lawyers in Washington DC in the area of securities law 2011 and 2013 
  • Selected as a leading Rainmaker in the November/December 2008 issue of Diversity & the Bar magazine, a publication of the Minority Corporate Counsel Association.
  • Named to the Washington Business Journal's 2014 "Minority Business Leaders" list, recognizing the entrepreneurial drive, creativity and success of the Greater Washington region's top minority business owners and leaders.
  • Selected as one of Lawdragon Magazine's "500 Leading Lawyers in America" in 2012 and 2013

Insights & News

Credentials