MaryJeanette Dee

Phone212.634.3079

Peer Rating
 4.9/5.0
AV® Preeminent

Client Rating

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Experience & Credentials Ratings & Reviews
 

Practice Areas

  • Government Contracts
  • Investigations & International Trade
  • International Reach
  • Korea
  • South Asia
  • Litigation
  • Securities Enforcement
  • White Collar Defense and Corporate Investigations
 
University Wells College, B.A., summa cum laude
 
Law SchoolHarvard Law School, J.D., cum laude, 1990
 
Admitted1990, Massachusetts (inactive); 1994, New York; U.S. District Courts for the Southern and Eastern Districts of New York
 
Biography

MaryJeanette Dee is a partner in the Government Contracts, Investigations and International Trade Practice Group in the firm's New York office. She is the Co-Chair of the Securities Enforcement Team and a member of the firm's Executive Committee.

Areas of Practice

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 investigations and inquiries by the 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 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, and retail brokerage sales practice violations. Some notable representations include:

•Representation of the Private Bank division of a global investment bank in connection with ongoing FINRA, SEC and state securities regulatory inquiries and investigations;

•Representation of a global investment bank in connection with trading by a customer's rogue trader under the SEC's Market Access Rule (Rule 15c3-5);

•Representation of a trader in connection with ISDAfix investigation by the CFTC;

•Representation of a Korean bank in connection with potential US sanctions violations;

•Representation of a financial advisor in connection with a money laundering investigation by the U.S. Attorney's Office for the Southern District of Florida;

•Representation of a financial advisor in connection with a FINRA investigation relating to managed futures products;

•Representation of a domestic broker-dealer in connection with CBOE investigation regarding alleged violations of Regulation NMS;

•Representation of ETF professional in connection with an SEC investigation regarding potential conflicts of interest;

•Representation of global investment bank in connection with whistleblower allegations of improper marking-to-market of equity derivatives;

•Representation of senior mortgage finance professionals in RMBS-related investigations and litigations;

•Representation of financial advisors in connection with FINRA investigation into CRD disclosures;

•Representation of a compliance professional in SEC information barriers investigation;

•Representation of a trader in FINRA investigation relating to alleged kickback scheme;

•Representation of operations professionals in connection with SEC “soft dollar” investigation;

•Representation of a broker-dealer in connection with a FINRA marking the close investigation;

•Representation of a retail branch manager in connection with FINRA Ponzi scheme investigation;

•Representation of a global financial institution in connection with FINRA investigation of its retail securities lending program;

•Representation of global investment banks and investment advisers in connection with insider trading investigations.

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.

Ms. Dee's work and professionalism have earned her recognition as a top white collar criminal defense lawyer. She has been awarded an AV Rating by Martindale-Hubbell Peer Review. In 2007, 2008, 2011 and 2013 the Legal 500 directory recognized her accomplishments in this area. She was also named a New York Super Lawyer in white-collar criminal defense in 2008 through 2014 and by Best Lawyers in America for 2015. She has also served as a Trustee of the Harvard Law School Alumni Association of New Jersey and is a member of a number of professional associations.

Honors

•Best Lawyers in America, 2015
•Legal 500, 2007, 2008, 2011, 2013
•New York Super Lawyers, 2008-2014
•AV Rated, Martindale-Hubbell

Publications & News

Articles

Corporate & Securities Law Blog Posts

• Second Circuit Limits “Tippee” Insider Trading Liability, December 11, 2014

Speaking Engagements

•Speaker, Conducting the Investigation, PLI's Internal Investigations 2015, June 2015
•Speaker, Handling a Regulatory Investigation, SIFMA Compliance and Legal Annual Seminar, March 2015
•Speaker, Concluding the Investigation, PLI's Internal Investigations 2014
•Speaker, Internal Investigations, SIFMA Compliance & Legal Society Annual Seminar, 2011-2013
•Panelist, Bet the Company Litigation 2010: Best Practices for Complex Cases, PLI Conference
•Panelist, Bet the Company Litigation 2009: Best Practices for Complex Cases, PLI Conference
•Presenter, Internal Investigations: Balancing Competing Concerns & Objectives
•Moderator, Managing Litigation On Multiple Fronts: Parallel Criminal, SEC, and Plaintiff Proceedings
•Moderator, 6th Securities Litigation Conference
•Panelist, Overlapping Civil Litigation and Government (Regulatory/Department of Justice) Investigations, PLI Seminar
•Moderator, Parallel Criminal, SEC and Plaintiff Proceedings
•Speaker, Interlinking the U.S. and Canada through Overcoming and Managing Multi-Jurisdictional Obstacles
•Presenter, Overlapping Civil Litigation and Government (Regulatory/Department of Justice) Investigations, PLI Seminar

Events

•Internal Investigations 2015

Hosted by PLI

New York, NY, June 25, 2015
•Conducting the Investigation

PLI's Internal Investigations 2015

New York, NY, June 25, 2015

 
ISLN901425230
 

Documents by this lawyer on Martindale.com

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Second Circuit Limits "Tippee" Insider Trading Liability
Sarah E. Aberg,MaryJeanette Dee, January 16, 2015
In United States v. Newman, No. 13-1837 (2d Cir. Dec. 10, 2014), the United States Court of Appeals for the Second Circuit reversed the 2013 convictions of Anthony Chiasson and Todd Newman on charges of conspiracy to commit insider trading and insider trading under 18 U.S.C. § 371, Sections...


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Office Information

MaryJeanette Dee


New YorkNY 10112




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