JASON P. LEE

Mr. Lee is co-chair of the Securities Enforcement Defense Group and represents public companies, directors and officers of public companies, investment advisers, hedge funds and hedge funds managers, other market professionals, and individuals in regulatory and criminal matters. He also represents individuals and entities in securities-related disputes in state and federal court and FINRA arbitration.

Prior to joining the Firm, Mr. Lee was a Senior Counsel in the U.S. Securities and Exchange Commission’s Division of Enforcement. During his six years at the Commission, Mr. Lee conducted investigations relating to financial fraud, auditor independence, audit failure, selective disclosure, insider trading, disclosure of insider transactions, broker-dealer misconduct, market manipulation, unregistered offerings, “spinning,” and bribery of foreign government officials. Mr. Lee worked on parallel criminal investigations with U.S. Attorneys Offices, the U.S. Department of Justice’s Criminal Division and Canadian criminal authorities and conducted investigations with the Federal Reserve Bank of New York and the Department of the Treasury. In addition to his investigative duties, Mr. Lee also represented the Commission in contested enforcement actions in federal court. His primary practice areas are SEC enforcement matters, securities litigation, and regulatory compliance.

Some of the more significant matters for which Mr. Lee was responsible for at the Commission include:

• SEC v. Quattrone et al. (alleging $700 million “round-tripping” financial fraud);
• SEC v. Gaglio (alleging complicity in above-mentioned $700 million “round-tripping” financial fraud);
• SEC v. Cocchiola et al. (alleging that former CEO and CFO oversaw above-mentioned $700 million “round-tripping” financial fraud);
• SEC v. Thomas & Betts et al. (alleging improper revenue recognition through contingent sales agreements);
• SEC v. Syncor International Corp. (alleging bribery of foreign government officials);
• SEC v. Fu (alleging CEO’s participation of above-mentioned bribery of foreign officials); and
• SEC v. Saba et al. (alleging “marking the close” in a market manipulation scheme).

In the Quattrone, Gaglio, Cocchiola, Syncor, and Fu cases, Mr. Lee worked jointly with the U.S. Department of Justice in parallel investigations of alleged violations of the federal securities laws.

PROFESSIONAL ACTIVITIES

Mr. Lee has commented nationally on such issues as hedge fund regulation and financial fraud, appearing in The Washington Post, Compliance Week, CNN, and HedgeWorld.

Mr. Lee is the co-chair of Asian American Bar Association of the Greater Bay Area’s Judiciary Committee and oversees the organization’s judicial endorsement process and judicial education program. He is also a Member of the State Bar of California, Bar Association of San Francisco, National Asian Pacific American Bar Association, and Association of Securities and Exchange Commission Alumni.

EDUCATION

Mr. Lee received his LL.M. in Securities and Financial Regulations, with distinction, from Georgetown University Law Center in 1998 and his J.D. from Santa Clara University School of Law in 1997, where he was a Law Faculty Scholar and member of the Moot Court Board. He was also a judicial extern for Associate Justice Joyce Kennard of the Supreme Court of California. Mr. Lee earned his B.A. in Economics from UCLA in 1994.

AREAS OF EXPERTISE

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