Jeffrey Ziesman’s practice focuses on Investment Adviser and Broker-Dealer regulatory and compliance issues. He has achieved successful outcomes for firms in SEC, FINRA and State 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. Mr. Ziesman has spoken to industry groups on a wide variety of investment adviser and broker-dealer regulatory concerns.

Mr. Ziesman is also a member of Bryan Cave's Data Privacy and Security Team. In that capacity, he advises financial services firms on a wide array of data privacy issues, including the handling of data security breaches. Mr. Ziesman has also provided guidance to industry participants on the ever-changing requirements regarding protecting confidential customer data.

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’s 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 (only given to 1% of employees at FINRA) and in 2007 and 2004 was awarded FINRA President’s Award for his work on major matters.

Professional Affiliations

    • National Society of Compliance Professionals
    • Securities Industry and Financial Markets Association
    • Missouri Bar Association
    • Iowa Bar Association
    • Missouri Bar Association
    • Iowa Bar Association
    • Iowa Bar Association
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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

  • "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