Wagener, Andrew

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 Derivatives and Futures 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.

Honors and Awards

• Selected by her peers for inclusion in the 2011 and 2010 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 2011, 2010, 2009 and 2008 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
  
• Selected as a leading Rainmaker in the November/December 2008 issue of Diversity & the Bar magazine, a publication of the Minority Corporate Counsel Association.