Lorraine Lee

Lorraine Lee

Lorraine Lee is an Affiliate Expert at Bates Group 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.


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Lorraine Lee

A Consultant and subject matter expert in these services:

Credentials

EXPERIENCE

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 (B.S.), University of Maryland, University College, College Park, MD, 1987

PROFESSIONAL QUALIFICATIONS/LICENSING

General Securities Representative – Series 7

PROFESSIONAL RECOGNITION AND ACCOMPLISHMENTS - FINRA

2015, Founder and President, FINRA’s Toastmaster’s Club, Toast of K Street

2012, FINRA Appointee, FINRA’s Diversity Leadership Council

2009, FINRA Award Recipient, FINRA’s Above and Beyond Award for Outstanding Performance

2005 – 2006, FINRA Mentor Program, Appointed as mentor in FINRA’s National Mentoring Program

2018, Recipient of FINRA’s BOND Award, Being Outstanding, Notable and Dedicated

VOLUNTEER ACTIVITIES AND CIVIC ENGAGEMENTS

Member, Delta Sigma Theta Sorority, Inc.

2019, Board Member, Sanctuary Senior Citizens Housing

2015 – 2018, Hospice Volunteer, Jewish Social Service Agency

2016 –2018, Mount Jezreel Prison Ministry

2010 – 2019, Chairperson, Montgomery County, MD, Committee on Hate/Violence

2010 – Present, Parent Leader, Boy Scouts of America

1988 –1989, Founding Board Member, Habitat for Humanity, Los Angeles

1988, Volunteer and Finalist for Big Sister of the Year, Big Sisters of Los Angeles