Alison K. Jimenez is an Affiliate Expert Witness for Bates Group in Lake Oswego, Oregon where she utilizes her extensive background in the securities industry to consult and provide expert witness testimony on complex financial matters involving Compliance and Anti-Money Laundering. In addition, Ms. Jimenez has experience providing quantitative witness testimony in retail securities litigation matters. Ms. Jimenez is based in Tampa, Florida.
For the past 10 years, Ms. Jimenez has been the President of Dynamic Securities Analytics where she has served as an independent auditor to plan and conduct Anti-Money Laundering audits of broker/dealers, verify compliance with PATRIOT Act, OFAC/Suspicious Activity Report filing requirements and other rules/laws. She performs data analysis relating to the detection, tracing and tracking of illicit funds as well as financial analysis relating to securities compliance and litigation for claimants, respondents and criminal cases, including profit and loss, churning, and break-even analysis. Ms. Jimenez testifies at securities arbitration proceedings regarding analysis and account activity.
Prior to this role, Ms. Jimenez was a Litigation Analyst with Raymond James Financial where she served as Subject Matter Expert to the Compliance and Legal departments on quantitative analysis of suspicious activity. She performed financial analysis relating to litigation and claims against Raymond James, including profit and loss, churning, and break-even analysis, and testified at securities arbitration proceedings regarding analysis.
While with the Florida Department of Banking and Finance, Division of Securities, Alison was a Financial Examiner/Analyst where she enforced Florida, NASD and SEC securities regulations through investigations/examinations of broker/ dealers, agents, unregistered entities, issuers, and investment advisers, and prepared detailed reports of findings. She developed strategies for investigations, interviewed witnesses, prepared affidavits, created and served subpoenas, analyzed investor statements and performed background checks.
Dynamic Securities Analytics, Inc., President, Tampa, FL, April 2003 - Present
Raymond James Financial, Litigation Analyst, St. Petersburg, FL, June 2000 - March 2003
Florida Department of Banking and Finance, Division of Securities, Financial Examiner/Analyst, Orlando & Tampa, FL July 1998 - May 2000
South Carolina Senate Finance Committee, Research Assistant, Columbia, SC, Jan 1998 - May 1998
University of South Florida, Masters of Business Economics, December 2002
University of South Carolina at Columbia, Honors College, Bachelor of Arts in Economics, Bachelor of Arts in International Studies, May 1998
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