MaryJeanette Dee is a partner in the Government Contracts, Investigations and International Trade Practice Group in the firm’s New York office where she is a member of the firm’s Executive Committee. She also serves as the Firm's Co-Managing Partner.
Areas of Practice
MaryJeanette concentrates in internal investigations and regulatory and white collar criminal defense. MaryJeanette frequently represents banks, broker-dealers, investment advisers, corporate officers, financial advisors and other securities professionals in connection with domestic and cross-border investigations and inquiries by U.S. Attorney’s Offices for the Southern and Eastern Districts of New York, the SEC, the CFTC, FINRA, the NY Attorney General’s Office, the FRB, the NY Department of Financial Services and other governmental entities and self-regulatory organizations. She has conducted numerous internal investigations into a wide variety of allegations, including insider trading, trading and position valuation issues, misuse of confidential information, embezzlement, money laundering and BSA/AML issues, sanctions compliance and retail brokerage sales practice violations. Representative engagements include:
Institutional representations:
- Representation of a global investment bank and a U.S. broker-dealer in connection with SEC and FINRA investigations involving the SEC’s Market Access Rule (Rule 15c3-5);
- Representation of a Korean bank in connection with potential US sanctions violations;
- Representation of the Private Bank division of a global investment bank in connection with FINRA, SEC and state securities regulatory inquiries and investigations;
- Representation of the Audit Committee of a non-profit organization in connection with whistleblower allegations of contracting irregularities;
- Representation of global investment banks and investment advisers in connection with insider trading investigations;
- Representation of a broker-dealer in connection with a FINRA “marking the close” investigation;
- Representation of global investment bank in connection with whistleblower allegations of improper marking-to-market of equity derivatives;
- Representation of a global financial institution in connection with FINRA investigation of its retail securities lending program.
