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Lorraine Lee

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:



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


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


General Securities Representative – Series 7


  • 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


  • 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

Contact Bates Group

Bates Group is with you every step of the way. Contact us today for more information on how our End-to-End Solutions can help your firm.