Lorraine Lee

Lorraine Lee is a Bates Consulting Expert and founder of Lorraine Lee Consulting LLC. Lee has worked in the securities industry for over thirty years. She began her career in 1987, working for Drexel Burnham Lambert.

For nearly 20 years, Lee worked at the Financial Industry Regulatory Authority (“FINRA” and formerly known as NASD), specifically in the area of statutory disqualification. While at FINRA, Lee participated in countless statutory disqualification matters impacting individuals and broker-dealers.

During her tenure at FINRA, Lee managed the statutory disqualification program and served as its associate director. Statutory disqualification is an extremely broad and nuanced area of securities regulation, and due to her experience, knowledge and expertise, Lee has become recognized as a skilled and proficient subject matter expert in this area.

After devoting herself to mastering the complexities of statutory disqualification for nearly two decades, Lee decided to form her own consulting firm, Lorraine Lee Consulting LLC, to respond to the needs of many clients, seeking her expertise in this very complex area of securities regulation.

Lorraine is a consultant and subject matter expert in these Practice Areas and Services:

Securities and Financial Services Litigation & Consulting
- Statutory Disqualification
Regulatory & Internal Investigations

Credentials

EXPERIENCE

Bates Group LLC, Consulting Expert, 2021 - Present
Lorraine Lee Consulting LLC, Founder and Owner, Silver Spring, MD, 2020 – Present
Financial Industry Regulatory Authority (FINRA), Associate Director and Manager, FINRA’s Statutory Disqualification Program, Washington D.C., 2000 – 2020

EDUCATION

Bachelor of Science (BS), University of Maryland, University College, College Park, MD

PROFESSIONAL QUALIFICATIONS/LICENSING

General Securities Representative – Series 7

PROFESSIONAL RECOGNITION AND ACCOMPLISHMENTS - FINRA

Founder and President, FINRA’s Toastmaster’s Club, Toast of K Street, 2015
FINRA Appointee, FINRA’s Diversity Leadership Council, 2012
FINRA Award Recipient, FINRA’s Above and Beyond Award for Outstanding Performance, 2009
FINRA Mentor Program, Appointed as mentor in FINRA’s National Mentoring Program, 2005 - 2006
Recipient of FINRA’s BOND Award, Being Outstanding, Notable and Dedicated, 2018

VOLUNTEER ACTIVITIES AND CIVIC ENGAGEMENTS

Member, Delta Sigma Theta Sorority, Inc.
Board Member, Sanctuary Senior Citizens Housing, 2019
Hospice Volunteer, Jewish Social Service Agency, 2015 - 2018
Mount Jezreel Prison Ministry, 2016 - 2018
Chairperson, Montgomery County, MD, Committee on Hate/Violence, 2010 - 2019
Parent Leader, Boy Scouts of America, 2010 - Present
Founding Board Member, Habitat for Humanity, Los Angeles, 1988 - 1989
Volunteer and Finalist for Big Sister of the Year, Big Sisters of Los Angeles, 1988

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