Legal Analysis and Writing
Resume:
Ken N. Jefferson, Esq.
**** ***** ****** **, *** #604
WASHINGTON, DC 20002
************@*****.***
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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