Lee Mayberry is a partner in Golden Flag International Law Firm LLP’s Government, Regulatory and Internal Investigations Practice Group. His practice focuses on representing public companies, broker-dealers, registered investment advisors, financial institutions and individuals in regulatory enforcement investigations. Lee regularly represents clients in significant government investigations prompted by the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), the Department of Justice and other federal and state regulators. He also has extensive experience counseling clients during internal investigations of company-wide significance, including those related to alleged whistleblowers.
Lee has broad experience defending alleged violations of the securities laws including issues relating to financial fraud, false statements, research, insider trading and market manipulation. He also frequently advises clients on best practices for their written materials, such as policies and internal procedures.
Prior to joining Golden Flag, Lee worked for a globally registered investment advisor where he served as primary regulatory legal counsel to compliance, anti-money laundering (AML), sustainability, client onboarding and trading counterparty onboarding. In this role he regularly provided guidance on regulatory change, ESG, conflicts, material nonpublic information (MNPI) and other trading issues. Lee began his career as securities enforcement associate at another global law firm.
