Lee M. Holland

With over 16 years of experience providing strategy and support through all stages of litigation, I have a keen instinct for finding creative ways to contribute effectively to legal strategies.

Regulatory Compliance Professional (CRCP) certification awarded in December 2016 from FINRA’s Wharton Institute enhances skills in protecting the economic security of consumers with an informed view of the industry's perspective on regulatory initiatives and an appreciation of necessary capital formation goals.

Possesses a deep understanding of anti money laundering policies in domestic and international contexts, cross-border jurisdictional and enforcement challenges, evolving standards concerning broker and adviser duties relating to proprietary product offerings, and regulations concerning communications with the public.

Extensive expert witness experience including taking expert depositions and working with experts to develop compelling reports. Substantial first chair trial and appearance experience including multi-day FINRA arbitrations, scores of hearings before administrative law judges, and appearances before state attorneys general and securities regulators.

Strategic Legal & Business Planning | Domestic & International Regulatory Financial Compliance | Claims Assessment | Data Privacy & Securities Compliance | Mergers and Acquisitions | Contract Negotiations | Advocacy | Arbitration | Cost Reduction Strategies | Corporate Governance | Legal Research | Document Management | Claims Management | Non-Profits and Charitable Foundations

• Credit Cards Accepted
  Credit cards accepted for fee retainer purposes
• Contingent Fees
  Hybrid fee format offering reduced contingency with a schedule of installment payments

FINRA (and previously NASD) Roster Of Neutrals

Since 2005

Massachusetts

Since 2002

New Hampshire

Since 2003

1st Circuit

Since 2005

U.S. District Court, District of Massachusetts

Since 2004

U.S. District Court, District of New Hampshire

Since 2003

Principal

The Investment Advocates

2017 - Current

http://www.theinvestmentadvocates.com/

Law Offices of Lee M. Holland, Esq.

2010 - 2017

http://www.theinvestmentadvocates.com/

Wharton

CRCP - Certified Regulatory Compliance Professional (2016) | Financial Compliance

2016 - 2016

Completion of a rigorous 2-week certification program offered by FINRA through association with Wharton - University of Pennsylvania

Cornell University

J.D. (2001)

1998 - 2001

Activities: Cornell International Law Journal, Managing Editor

Princeton University

B.A. (1996) | English Literature

1992 - 1996

And Engineering and Pre-med coursework to round out Shakespeare!

Rising Star

Super Lawyers

2011

2009-2011

Acton Lion’s

Member

2014 - Current

FINRA

Non Public Neutral

2011 - Current

MA Bar Association  # 650617

Mock Trial Judge

2014 - 2017

Activities: Judge of High School Mock Trial Competition

MA Bar Association

Business Law Section Council

2014 - 2015

NASD / FINRA

Public Neutral

2005 - 2010

Certified Regulatory Compliance Professional (CRCP)

Wharton - FINRA