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 the Team Leader of the Securities Enforcement Team and a member of the firm’s Executive Committee. She also serves as the Firm’s Co-Managing Partner. Ms. Dee concentrates in internal investigations and regulatory and white collar criminal defense.
Ms. Dee 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:
- 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 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 bank in connection with whistleblower allegations of improper marking-to-market of equity derivatives;
- Representation of a financial advisor in connection with money laundering investigation by the U.S. Attorney’s Office for the Southern District of Florida;
- Representation of senior mortgage finance professionals in RMBS-related investigations and litigations;
- Representation of a retail branch manager in connection with FINRA Ponzi scheme investigation.
In 1993, Ms. Dee served as Special District Attorney in the Middlesex County District Attorney’s Office in Massachusetts. She obtained convictions in bench and jury trials for credit card fraud, aggravated assault, stalking and other felony crimes.
- J.D., Harvard Law School, 1990, cum laude
- B.A., Wells College, summa cum laude
- New York
- U.S. District Courts for the Southern and Eastern Districts of New York
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