Jeff Ziesman
Partner
Norton Rose Fulbright US LLP
Related services and key industries
Biography
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.
Professional experience
Collapse all- JD, Drake University, 1992
- BA, University of Northern Iowa, 1990
- Iowa State Bar
- Kansas State Bar
- Missouri State Bar
- The Best Lawyers in America, Kansas City, Missouri: Lawyer of the Year, Litigation: Securities, Best Lawyers, 2022, 2025
- The Best Lawyers in America, Litigation: Securities, Best Lawyers, 2017-2025
- Panelist, "Continuing Challenges with Off-Channel Communications," Financial Markets Association, 2024 Securities Compliance Seminar. Chicago, IL, April 17-19
- Presenter, "Anti-Money Laundering (AML) and Bank Secrecy Act Issues," LawPracticeCLE Webinar, May 2, 2022
- Presenter, “Anti-Money Laundering (AML) 101: What every attorney needs to know,” MyLawCLE Webinar, September 10, 2021
- Presenter, "Form ADV: Regulation BI Form CRS," ACA Compliance Group Spring Conference, May 13, 2020
- Panelist, "Broker-Dealer Panel" and "Investment Adviser Panel," Cleveland Compliance Workshop for Broker-Dealers and Investment Advisers, Cleveland, OH, May 17, 2016
- Presenter, "Enforcement Issues and Trends - Not a Clowning Matter," NSCP Spring Conference, Juggling Compliance Risks - Maintaining the Balance, Denver, CO, April 18, 2016
- Presenter, "Forensic Testing for Small to Mid-Sized Advisers (Part 2)," July 28, 2015
- Presenter, "Forensic Testing for Small to Mid-Sized Advisers," June 30, 2015
- Presenter, “What You Need to Know About Consolidated Account Statements,” 2015 FINRA Annual Conference, Washington, DC, May 28, 2015
- National Society of Compliance Professionals
- Securities Industry and Financial Markets Association