Jeff Jamieson

Jeff Jamieson

Jeff Jamieson is a Bates Consulting and Testifying Expert based in St. Louis, Missouri. Jeff uses his expertise in Retail Securities, Regulatory Investigations, Compliance and Regulatory Reporting to serve our financial services clients and their counsel. He has extensive experience in litigation and regulatory matters, conducting internal investigations and regulatory reporting. This provides a depth and breadth of securities industry knowledge that allows Jeff to analyze and evaluate matters quickly to provide advice and assess potential liability. He is a strong advocate and proven problem solver.

Since 1991, Jeff has represented brokerage firms and their employees in litigation and arbitration cases and matters before federal and state regulators. He has arbitrated to award 35 cases before FINRA and the NYSE. He has, in addition, conducted numerous internal investigations many of which involved theft and selling away.

Before joining Bates, Jeff was Senior Counsel for Wells Fargo Advisors, where he was responsible for responding to regulatory matters and directing internal investigations for the Wealth and Investment Management Division. He was also responsible for advising the Registration Department regarding regulatory reporting with an emphasis on criminal matters.

Jeff started in the brokerage business with A.G. Edwards & Sons, Inc., and was responsible for litigation and regulatory matters, internal investigations, and responding to customer complaints. He continued his securities practice as a partner in the securities practice groups at Husch Blackwell and Bryan Cave Leighton Paisner. He also worked in Edward Jones Compliance Department where his primary responsibilities were to provide legal support to the firm’s internal investigations and complaints teams and ensure that registered associates properly and timely amended their Forms U4 and U5.

Jeff has also testified as a fact witness on several occasions in arbitration cases brought against A.G. Edwards and Edward Jones. His testimony related to internal investigations and Forms U5 with which Jeff was familiar.

Prior to joining A.G. Edwards, Jeff was a Felony Staff Attorney for the St. Louis Circuit Attorney’s Office where he prosecuted criminal cases and tried 65 jury trials to verdict.


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Jeff Jamieson

A Consultant and subject matter expert in these services:

  • Securities and Financial Services Litigation & Consulting
    • Retail
      • Securities and Financial Services Litigation & Consulting
      • Branch Management
      • Broker Dealer (B-D)
      • Broker Obligations
      • Damages Analysis
      • Disbursements
      • Elder Issues
      • Fiduciary Duties/Responsibilities
      • Fraud
      • Industry Standards
      • Legal
      • Operational Complaints
      • Operations
      • Outside Business Activity
      • P&L Analysis
      • Private Securities Transactions
      • Selling Away
      • Senior Investors
      • Sales Supervision
      • Sales Practice
      • Suitability
      • Supervision
      • Unauthorized Trading
      • Regulatory & Internal Investigations
      • Compliance Solutions
  • Regulatory & Internal Investigations
    • Internal Investigations
  • Compliance Solutions
    • Broker-Dealers

Credentials

EXPERIENCE

Wells Fargo Advisors, St. Louis, MO, 2017 to Present; Director of Complaints Resolution Group, 2017 – 2018; Legal Department Senior Counsel, 2018 – Present

Edward Jones, Compliance Counsel – Team Leader of Reportable Events Team and provided legal support for Compliance Investigations Team, St. Louis, MO, 2013 – 2017

Bryan Cave, LLP, Counsel, St. Louis, MO, 2010 – 2013

Husch Blackwell Sanders, LLP, Partner, St. Louis, MO, 2003 – 2010

A.G. Edwards and Sons, Inc., Vice-President and Litigation Counsel, St. Louis, MO, 1990 – 2003

St. Louis Circuit Attorney’s Office , Assistant Circuit Attorney, St. Louis, MO, 1984 – 1990

Cochran, Oswald and Roam, LLC, Associate Attorney, Blue Springs, MO, 1983 – 1984

EDUCATION

Bachelor of Science in Business Administration (BSBA), Accounting, University of Missouri, Columbia, MO

Juris Doctor (JD), University of Missouri, Columbia, MO