Lee M. Holland Esq.

Lee M. Holland Esq.

Regulatory Compliance Consulting & FINRA Investment Claims Advocacy
  • Stockbroker & Investment Fraud, Securities Law, Arbitration & Mediation
  • FINRA (and previously NASD) Roster Of Neutrals, Massachusetts, New Hampshire
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Summary

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

Practice Areas
  • Stockbroker & Investment Fraud
  • Securities Law
  • Arbitration & Mediation
Fees
  • Credit Cards Accepted
    Credit cards accepted for fee retainer purposes
  • Contingent Fees
    Hybrid fee format offering reduced contingency with a schedule of installment payments
Jurisdictions Admitted to Practice
FINRA (and previously NASD) Roster Of Neutrals
Massachusetts
New Hampshire
1st Circuit
U.S. District Court, District of Massachusetts
U.S. District Court, District of New Hampshire
Languages
  • English
Professional Experience
Principal
The Investment Advocates
- Current
http://www.theinvestmentadvocates.com/
Law Offices of Lee M. Holland, Esq.
-
http://www.theinvestmentadvocates.com/
Education
Wharton
CRCP - Certified Regulatory Compliance Professional (2016) | Financial Compliance
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Completion of a rigorous 2-week certification program offered by FINRA through association with Wharton - University of Pennsylvania
Cornell University
J.D. (2001)
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Activities: Cornell International Law Journal, Managing Editor
Princeton University
B.A. (1996) | English Literature
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And Engineering and Pre-med coursework to round out Shakespeare!
Awards
Rising Star
Super Lawyers
2009-2011
Professional Associations
Acton Lion’s
Member
- Current
FINRA
Non Public Neutral
- Current
MA Bar Association # 650617
Mock Trial Judge
-
Activities: Judge of High School Mock Trial Competition
MA Bar Association
Business Law Section Council
-
NASD / FINRA
Public Neutral
-
City Of Newburyport Revenue Task Force
Vice Chair
-
MA Bar Association, Civil Litigation Section Council
Vice Chair
-
Activities: Amicus Curiae Liaison (2007-2009)
NH Bar Association, Alternative Dispute Resolution Council
Clerk
-
Certifications
Certified Regulatory Compliance Professional (CRCP)
Wharton - FINRA
Websites & Blogs
Website
The Investment Advocates
Blog
Twitter feed
Social Media
Contact & Map
The Investment Advocates
300 Baker Avenue
Suite 300
Concord, MA 01742-2124
USA
Telephone: (978) 405-3314
Cell: (978) 270-9311
Fax: (978) 405-3303