Lee Polson represents issuers in new offerings of securities and in compliance with the reporting requirements of the Securities Exchange Act of 1934. He also counsels businesses on structuring new enterprises, shareholders’ and partners’ agreements, venture financing, restructuring and reorganizations, and acquisitions and dispositions of assets.
He has 40 years of experience in securities and corporate practice. He also represents securities broker-dealers in regulatory examinations and enforcement matters before the SEC, FINRA, and state securities regulators.
Lee began his legal career with the Texas State Securities Board in 1974, where he served as an enforcement attorney, general counsel, director of enforcement and as deputy securities commissioner from 1981 to 1985. He entered private practice in Austin in 1985, advising clients on securities matters. In 1987, Lee moved to Washington, D.C., where he served first as general counsel and then executive director of the North American Securities Administrators Association from 1987 to 1992. In 1992, he returned to Austin to resume the private practice of securities law.
State Bar of Texas, Business Law Section, Securities Law Committee, former Chair (1998-2000), Administrative Law Section, former Chair (1985)
Austin Compliance Roundtable, Member