Overview

Lee Mayberry is a partner in Kirkland & Ellis 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 Kirkland, 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.

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Thought Leadership

Publications

Co-author, “CFTC Is Likely to Follow the SEC’s Playbook for Whistleblowers,” Bloomberg Law, May 2024

“Winning Methods for Resolving Cross-Border Securities Investigations,” The Guide to International Enforcement of the Securities Laws – Third Edition, Global Investigations Review, November 2023

“Resolving Securities Enforcement Investigations,” The Guide to International Enforcement of the Securities Laws – Second Edition, Global Investigations Review, November 2022

Credentials

Admissions & Qualifications

  • 2022District of Columbia
  • 2011New York

Education

  • Fordham University School of LawJ.D.2010

    Fordham Moot Court

    Center on Law and Information Policy Project Fellow

    Fordham Journal of Corporate and Financial Law

  • California State University, FullertonB.A., Theatre2002