Jeffrey Ziesman is a member of the firm's Broker-Dealer Litigation, Arbitration and Regulatory Practice, and Securities Litigation and Enforcement Client Service Groups. Mr. Ziesman was previously the Deputy Regional Chief Counsel for the Midwest Region of FINRA. In that capacity, he brought significant Enforcement cases in such diverse areas as Regulation D, Anti-Money Laundering (AML), Regulation S-P, failure by firms to timely deliver prospectuses to customers, and supervisory controls and procedures. Mr. Ziesman brought one of the leading FINRA cases in 2011 relating to giving credit-for-cooperation, under FINRA Regulatory Notice 08-70, for a firm self reporting violations. Mr. Ziesman was on Regulatory Disposition Groups for supervisory controls and AML at FINRA. In 2005, he received the FINRA Excellence in Service Award (given to 1% of employees at FINRA), and in 2007 and 2004 was awarded FINRA President’s Award for his work on major matters.
Mr. Ziesman’s practice focuses on Investment Adviser and Broker-Dealer regulatory and compliance issues. He represents firms in regulatory examinations, investigations and enforcement proceedings. Mr. Ziesman also advises Investment Advisers and Broker-Dealers on compliance and supervisory issues, and has assisted firms in structuring their compliance programs and written supervisory systems and procedures.
Bar and Court Admissions
United States Court of Appeals for the Eighth Circuit
United States District Courts for the District of Kansas and Western District of Missouri
Drake University, J.D., with honors, 1992
University of Northern Iowa, B.A., 1990
"Examination Priorities and Enforcement Trends (FINRA and SEC)," National Regulatory Services Fall 2011 Conference, October 26, Las Vegas, NV
Speeches and Seminars
“Social Media and Advertising,” 2012 Midwest Regional Meeting, The National Society of Compliance Professionals, April 2, 2012
“The New BD Self-Reporting Rule: How to Decide When to Report,” NRS 27th Spring Investment Adviser and Broker-Dealer Compliance Conference, May 16-18, 2012
National Society of Compliance Professionals
Securities Industry and Financial Markets Association
Missouri Bar Association
Iowa Bar Association