Prior to joining My RIA Lawyer, Julie served as an Investigator within FINRA’s National Cause and Financial Crimes Detection group, where she analyzed trading activity, reviewed SEC filings, investigated potential violations of federal securities laws and FINRA rules, and worked directly with member firms on regulatory compliance matters. Her work included identifying potential insider trading activity, analyzing Form 13F filings and assets under management, reviewing supervisory systems, and communicating regulatory expectations to firms and counsel.

Before FINRA, Julie completed multiple legal internships with the SEC, supporting the Division of Examinations, Division of Corporation Finance, Office of International Affairs, and Division of Enforcement. During her time there, she participated in investment adviser and broker-dealer examinations, cybersecurity reviews, IPO registration reviews, insider trading investigations, international regulatory matters, and cross-border securities enforcement initiatives.

Julie later expanded her practice in private law, representing underwriters and placement agents in public and private securities offerings. She advised clients on federal securities laws, disclosure obligations, Blue Sky requirements, due diligence, and municipal securities transactions while working alongside sophisticated financial institutions on complex capital markets matters.

What distinguishes Julie is her ability to balance legal precision with practical business judgment.

As an entrepreneur who has successfully built and operated multiple businesses, she understands firsthand the challenges executives face when balancing growth, operations, people, and regulatory obligations. That perspective allows her to deliver advice that is not only legally sound, but also commercially practical—helping clients build compliance programs that support growth rather than slow it down.

At My RIA Lawyer, Julie advises registered investment advisers and other financial services firms on SEC compliance, regulatory examinations, securities law matters, corporate governance, and risk management. She works closely with leadership teams to develop compliance structures that strengthen operational performance while reducing regulatory risk.

Julie earned her Juris Doctor from Antonin Scalia Law School at George Mason University, concentrating in Securities Law and Antitrust Law. She is fluent in both English and Mandarin and has working proficiency in Japanese.

Outside the office, Julie enjoys martial arts, yoga, travel, and continuous learning. Her commitment to discipline, curiosity, and personal growth reflects the same approach she brings to serving clients every day.

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