Ken N. Jefferson, Esq.

**** ***** ****** **, *** #604

WASHINGTON, DC 20002

acv2l2@r.postjobfree.com

240-***-****

Professional Experience

Morgan Stanley, Baltimore, MD August 2015 -- Present

Attorney

Provides expert legal advice to branch offices in connection with investigations, audits, and non-compliant matters that need legal review and settlement involving municipal securities, mutual funds, equities, options, and annuities.

Drafts memoranda and responses to FINRA, SEC and State Regulatory/Enforcement Inquiries stemming from client complaints

Drafts necessary Regulatory Filings concerning Financial Professionals’ disclosure events related to sales practice complaints

Negotiates settlement terms and conditions consistent with Firm policies

Supports senior attorneys by analyzing and evaluating novel and complex issues involved in complaints and regulatory inquiries

Independently investigates, conducts interviews, and drafts responses to oral and written customer sales practice complaints involving portfolio performance, suitability, unauthorized trading and failure to follow instructions.

Promontory Financial Group, Washington, D.C. February 2015 – May 2015

Consultant

Thorough Knowledge of Consumer Protection laws: BSA, CRA, ECOA, EFTA, FATCA, FCRA, FDCPA, RESPA, SCRA, TILA, UDAAP

Trained in AML and KYC compliance testing, assisted with examinations, audits, and forensic review of credit card and credit line, mortgage, home equity, and consumer loan files of large, complex financial institutions with significant loan servicing portfolios

Monitored changes in consumer protection laws and jurisprudence and analyzes the impacts of such changes in practice

Researched, drafted and presented briefing materials, talking points, reports, correspondence, and other deliverables

Reviewed client financial institutions’ customer transactions to identify suspicious or improper client actions under the SCRA

Knowledgeable on Securities Exchange Act of 1934, Investment Advisers and Company Acts of 1940, UCC, and Dodd-Frank

Federal Deposit Insurance Corporation (FDIC) – Financial Crimes Unit, Arlington, VA February 2014 – October 2014

Law Clerk

Prepared legal memoranda for upcoming civil, criminal, and administrative proceedings, bank receivership matters as well as assisted in the production of exhibits and discovery materials for cases in litigation

Performed SAR reviews; trained in E-Discovery methods using Clearwell, iConnect, and Relativity

Assisted in the research and analysis of novel issues, and the drafting of clear, technical, and concise legal opinions

Prepared tables of Points of Authorities and evidence acquiring documentation such as subpoenas; also performed cite checking

Performed legal research and writing on bank regulatory and consumer compliance, corporate practice, and antifraud efforts

Office of Special Counsel (OSC) – Complaints Examining Unit, Washington, D.C. September 2013 – February 2014

Law Clerk

Examined and reviewed incoming federal employee grievances/complaints and determined whether OSC had jurisdiction

Identified litigable issues regarding Prohibited Personnel Practices under the Civil Rights Act of 1964, Age Discrimination in Employment Act of 1967, Fair Labor Standards Act of 1938, Rehabilitation Act of 1973, Whistleblower Protection Act, Hatch Act, and Veterans Employment Opportunities Act

Independently evaluated facts, made preliminary determinations as to questions of law, and recommended files for referral to the MSPB for adjudication

Drafted formal memoranda including action and no action letters providing legal reasoning and justification for decisions

BAR ADMISSIONS

California State Bar, 2015; DC Bar Application Pending

EDUCATION

Howard University School of Law, Washington, D.C. Juris Doctor, May 2014

CALI Award Recipient, World Food Law – Howard University School of Law, 2014

Santa Clara Law School – International Law & Human Rights Law Study Abroad in San Jose, Costa Rica May 2012 -- July 2012 Virginia Polytechnic Inst. & State University, Blacksburg, VA Bachelor of Arts in Economics, May 2009

LEADERSHIP

Virginia Tech University NCAA Football Team - 5 year Full Athletic Scholarship, 2005-2010, Captain – 2009, 3 year Starter at Fullback

ADDITIONAL SKILLS

Fluent in Spanish, Conversational in French, Basic Skills in Japanese, and Mandarin

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