Biography

Wayne Lee, founder and managing shareholder of Lee Lowinger PC, is a corporate and securities lawyer who advises on general corporate matters as well as corporate transactions such as debt and equity offerings, and merger and acquisition transactions. He also advises broker dealers and registered investment advisers on regulatory compliance matters and other securities industry matters. He has been involved in the securities industry as an adviser and a principal for more than thirty years. His clients have ranged from small entrepreneurial firms to global giants. Prior to founding Lee Lowinger PC in March 2013, Mr. Lee had been a shareholder at Greenberg Traurig LLP since 2004. From 2001 to 2004 Mr. Lee practiced at Reed Smith LLP.

As a corporate lawyer Mr. Lee has advised clients on contact compliance and enforcement, executive and board actions and compensation, shareholder relations. He also has advised on capital raising activities such as private and public debt and equity securities offerings. He has also represented buyers and sellers in purchase and sale and merger transactions.

In the regulatory area, Mr. Lee regularly advises broker dealers, registered investment advisers and others involved in the securities industry. He regularly provides advice on FINRA, SEC, and state securities law matters. He counsels on regulatory compliance and assists clients undergoing regulatory audits and examinations.

Mr. Lee was Chairman and General Counsel for Ryan Lee & Co., Inc., acted as Managing Director of Bankers Trust Co /BT Securities, Inc., and served as Economist for the National Petroleum Council. His wide-ranging years of law firm and in-house counsel experience complement his time as an investment banker, entrepreneur, and private investor to better serve his clients' needs.

Areas of Concentration

• Corporate and securities
• Broker/Dealers and investment advisers
• Investment Company Act of 1940
• Venture capital
• Private placements
• Mergers and acquisitions

Professional & Community Involvement

• Director, various private and public companies
• General Counsel, Technology Student Association
• Former Member, Virginia Venture Capital Roundtable

Other Experience

• Chairman and General Counsel, Ryan Lee & Co., Inc., an investment banking and brokerage firm (NASD member)
• Managing Director, Bankers Trust Co /BT Securities, Inc., head of Energy Mergers and Acquisitions Group
• Partner and associate at Washington, DC law firms
• Economist, National Petroleum Council
• US Naval Flight Officer
• Systems Engineer, IBM Corp.

Articles, Publications & Lectures

• Author, "The Dodd-Frank Wall Street Reform and Consumer Protection Act," GT Alert, July 2010
• Author, "FINRA Seeks Increased Disclosure by Broker/Dealer and Investment Adviser Representatives," GT Alert, April 2009
• Author, "FINRA Proposes New Registration Category for Investment Bankers," GT Alert, February 2009
• Co-Author, "SEC Shortens Rule 144 Holding Period, Eliminates Reg. S-B to Improve Capital-Raising and Reporting for Smaller Reporting Companies," GT Alert, December 2007
• Author, "Selling Private Placements," The Daily Deal, September 2007
• Author, "SEC Staff Narrows Broker/Dealer Registration Requirement," GT Alert, December 2006
• Author, "Use of Finders in Securities Transactions," GT Alert, May 2006
• Author, "Coal Slurry Pipelines: The Time is Now," LandMarc, November/December 1982
• Author, "Can the Coal Industry Afford a $6.5 Billion Tax Increase?" LandMarc, June 1982
• Author, "Electric Utility Rate Regulation: Straitjacket for Coal," LandMarc, April 1982
• Author, "Conversion of Savings and Loan Associations from Mutual to Stock Form: Fairness Forgotten," 33 Business Lawyer 29, 1977
• Author, "Treatment of Finance Leases of Equipment in Rate-Making Determinations," 8 Transportation Law Journal 181, 1976
• Co-Author, "Avoiding the Anti-Injunction Statute in Suits to Enjoin Termination of Tax-Exempt Status," 14 William & Mary Law Review 1014, 1973

Education

• J.D., William & Mary Law School, 1975
  Research Editor, William & Mary Law Review
  "West Publishing Award" for ranking first in class (1973)
• M.B.A., Finance and Investments, George Washington University, 1976
• B.A., Economics, University of Virginia, 1968

Admitted to Practice

• District of Columbia
• Virginia
• U.S. Court of Appeals for the District of Columbia Circuit
• U.S. District Court for the District of Columbia
• Supreme Court of the United States
• U.S. Court of Federal Claims