Jeffrey A. Ziesman
Jeffrey A. Ziesman
Jeffrey A. Ziesman
Biography
Jeff Ziesman assists financial institutions with regulatory matters brought by the SEC, FinCEN, FINRA and state securities regulators. With over 20 years of experience in the regulated entity space, first as a regulator and now defending regulated entities, Jeff brings an insider’s perspective and practical approach to handling regulatory examinations, investigations and enforcement proceedings. He believes in long-term, active and enduring client relationships, and regularly provides clients with “preventive medicine” to keep from regulators’ sights. In particular, Jeff has counseled clients on a review of their overall compliance programs, performed gap analysis and risk assessments, and assisted with an analysis of historical transactions review. Jeff’s clients range from large global financial institutions with a global reach to mid-sized regional businesses.
Prior to re-joining BCLP in August 2011, Jeff was the Deputy Regional Chief Counsel for the Midwest Region of FINRA. In addition to that position, he was the Enforcement representative for FINRA’s Regulatory Disposition Group for Anti-Money Laundering (AML) cases. Jeff brought a number of ground-breaking Enforcement cases in the AML space, including several FINRA press release matters.
Civic Involvement & Honors
- The Best Lawyers in America, "Lawyer of the Year" (Litigation - Securities in Kansas City), 2022
- The Best Lawyers in America, (Litigation - Securities), 2017-2024
Professional Affiliations
- National Society of Compliance Professionals
- Securities Industry and Financial Markets Association
- Missouri Bar Association
- Iowa Bar Association
The Corporate Transparency Act
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Admissions
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Missouri, 1998
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United States Court of Appeals for the Eighth CircuitUnited States District Courts for the District of Kansas and Western District of Missouri
Education
Drake University, J.D., with honors, 1992
University of Northern Iowa, B.A., 1990
Related Practice Areas
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Anti-Money Laundering Compliance
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Litigation & Dispute Resolution
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Investigations
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Regulation, Compliance & Advisory
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Finance
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Financial Services
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Broker-Dealer and Investment Advisor Regulatory Enforcement, Disputes and Investigations
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Securities Litigation and Enforcement
Resources
Publications
- "Recent SEC action reminds investment advisers of importance of robust compliance program," Journal of Investment Compliance, Vol. 14, No. 3, 2013 (with Therese Pritchard and Jeff Kalinowski)
Speaking Engagements
- "Anti-Money Laundering (AML) & Bank Secrecy Act Issues," LawPracticeCLE Webinar, May 2, 2022
- “Anti-Money Laundering (AML) 101: What every attorney needs to know,” MyLawCLE Webinar, September 10, 2021
- "Form ADV: Regulation BI Form CRS," ACA Compliance Group - Spring Conference, Webcast, May 13, 2020
- "Broker-Dealer Panel" and "Investment Adviser Panel," Cleveland Compliance Workshop for Broker-Dealers and Investment Advisers, Cleveland, OH, May 17, 2016
- "Enforcement Issues and Trends - Not a Clowning Matter," 2016 NSCP Spring Conference - Juggling Compliance Risks - Maintaining the Balance, Denver, CO, April 18, 2016
- "Forensic Testing for Small to Mid-Sized Advisers (Part 2)," July 28, 2015
- "Forensic Testing for Small to Mid-Sized Advisers," June 30, 2015
- “What You Need to Know About Consolidated Account Statements,” 2015 FINRA Annual Conference, Washington, D.C., May 28, 2015
- “Enforcement Developments,” 2014 FINRA South Region Compliance Seminar, Ft. Lauderdale, FL, November 20-21, 2014
- “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
- "Examination Priorities and Enforcement Trends (FINRA and SEC)," National Regulatory Services Fall 2011 Conference, Las Vegas, NV, October 26, 2011
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