Jeff Ziesman

Jeff Ziesman assists financial institutions with regulatory matters brought by the US Securities and Exchange Commission (SEC), the Financial Crimes Enforcement Network (FinCEN), Financial Industry Regulatory Authority (FINRA) and state securities regulators. His clients range from large financial organizations with a global reach to mid-sized regional businesses.

With more than 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 regularly provides clients with preventive guidance, reviewing overall compliance programs, performing gap analysis and risk assessments and assisting with analyses of historical transactions.

Before returning to private practice, Jeff was the Deputy Regional Chief Counsel for the Midwest Region of FINRA. He also served as the enforcement representative for FINRA’s Regulatory Disposition Group for Anti-Money Laundering (AML) cases. Jeff brought many groundbreaking enforcement cases in the AML space, including several FINRA press release matters.

Education

• JD, Drake University, 1992
• BA, University of Northern Iowa, 1990

Admissions

• Iowa State Bar
• Kansas State Bar
• Minnesota State Bar
• Missouri State Bar