Bryan Cave Leighton Paisner
Jeffrey A. Ziesman is a Partner at Bryan Cave Leighton Paisner and is a member of the firm’s Broker-Dealer Litigation, Arbitration and Regulatory Practice, and Securities Litigation and Enforcement Client Service Groups. Prior to re-joining the firm in August 2011, Mr. Ziesman was 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. Since re-joining the firm, Mr. Ziesman has focused his practice on all aspects of the broker-dealer business. He has represented broker-dealers on industry regulatory matters. Mr. Ziesman has also represented firms on various FINRA Arbitration and securities litigation issues. He also has counseled clients on their written supervisory systems and procedures.