JOSEPH A. JEZIORSKI

*** ***** ****, ******, **. 19312

Phone 610-***-**** Cell Phone 610-***-**** Email

acwmw3@r.postjobfree.com

SUMMARY of EXPERIENCE, ACCOMPLISHMENTS, CORE COMPETENCIES, and

OBJECTIVE

. Highly knowledgeable, experienced, problem solving, solution driven

SECURITIES INDUSTRY ATTORNEY, COMPLIANCE PROFESSIONAL, EXECUTIVE,

REGULATOR, and ARBITRATOR

seeking a new senior level LEGAL, COMPLIANCE, EXECUTIVE, or REGULATORY

OPPORTUNITY

. With a keen and deep knowledge of the securities industry, and other

financial services industries, along with comprehensive and successful

EXPERIENCE in legal matters (including examinations, enforcement,

litigation, bankruptcy, contracts) - corporate finance/investment banking

(including acquisitions, mergers, divestitures, private placements,

venture capital and some private equity and alternative investments) -

securities industry compliance for Broker-dealers, Investment Banks,

Investment advisors, and mutual funds (including establishing,

maintaining, monitoring, and testing all supervisory procedures including

AML procedures) - CHIEF AML officer - institutional and retail

securities sales and sales management (involving both equity and fixed

income securities including municipal bonds) - securities - branch

office management - regional sales management - research/analysis -

investment portfolio management - and Executive experience with

Broker- Dealers, Investment Bankers, Investment Advisers, and Mutual

Funds. And extensive and successful experience, including executive,

with a SECURITIES REGULATOR.

. With an exceptional insight into identifying and assessing potential

regulatory and reputational risks and developing solutions to mitigate

the risks. Along with excellent management skills, outstanding problem

solving skills, superb negotiating skills, and sound business judgment;

also accomplished liaison, leadership, and public speaking skills,

including court room oratory.

. Who is intelligent, a quick learner, always eager to learn more, very

analytical with a keen mathematical mind, yet also quite intuitive, and

sensitive to others' thoughts and ideas (a good diplomat), with abundant

energy and enthusiasm, and always performed with the highest standards of

integrity and ethics.

EXPERIENCE and ACCOMPLISHMENTS

. Finra Arbitrator

2011to Present

Folger Nolan Fleming Douglas Incorporated, Washington, DC

` 2003 - 2011

Vice president, Chief In-House Counsel, Chief Compliance Officer,

designated AML Officer, and Allied Member of the NYSE for this highly

regarded registered securities broker-dealer and investment adviser

. Head of compliance for the broker-dealer and also for the investment

adviser operations. Responsible for establishing, maintaining,

monitoring, and testing the firm's supervisory procedures. Monitored for

changes in federal, state, and SRO laws, rules and regulations to ensure

that policies and procedures were updated as needed, and kept all

concerned so informed. Monitored for any breaches of regulatory duties.

Member of Investment Policy, Best Execution Oversight, and New Products

Review committees.

. Skillfully developed written Supervisory Policies and Procedures for the

broker-dealer and the investment adviser.

. Expertly developed for the investment adviser their code of ethics

(Rule204A-1) and their written policies and procedures (Rule 206(4)-7),

and redid their ADV, their customer contracts, and their solicitor

agreements.

. Professionally developed the AML Procedures including the Customer

Identification Program (CIP) procedures; monitored for and investigated

all suspicious activity, developed, wrote and filed Suspicious Activity

Reports.

. Carefully monitored for Politically Exposed Persons (PEPs); and carefully

reviewed essentially all wires.

. Exceptionally coordinated and liaised with outside examiners; and

exceptionally researched, analyzed, prepared, and managed (including

follow- up) timely responses to regulatory inquires, exams, and audits.

. Expertly conducted monitoring and testing of policies and procedures; and

expertly conducted investigations, and performed all duties and prepared

all reports pursuant to FINRA Rule 3012 and FINRA Rule 3130

. Carefully pre-cleared proprietary, senior management, access persons

trading, and monitored other employee and client trading (both equity

and fixed income, including municipal securities) for among other things

insider trading, money laundering activity, and the misuse of Material

Non Public information;

. Professionally prepared and/or reviewed all advertising and other

marketing material; and carefully reviewed all gifts and entertainment

issues; and also skillfully presented continuing education sessions.

. Immeasurably improved the compliance operation, including the training of

staff, developing new policies and procedures, and instilling a culture

of compliance, all accomplished within a period of increasing employees

and revenue without any material deficiencies found by the regulators.

JAJ

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Pennsylvania Securities Commission, Philadelphia, PA

1996 - 2002

Compliance, regulatory and enforcement/litigation staff attorney

. Supervised numerous complex examinations, audits, and investigations.

Successfully litigated scores of enforcement proceedings, including

corporate fraud, broker and investment adviser fraud, misappropriation of

client funds, failure to supervise, use of improper sales material, sales

practice abuses (including selling away, suitability, churning and

unauthorized trading) and other matters involving violations of FINRA and

state and federal securities laws. Plus the rehabilitation/turnaround of

an investment advisory firm.

. Moreover, appeared in and won a case in federal bankruptcy court

regarding, inter alia, a spurious private equity financing attempt

through a sham regulation D offering containing a fraudulent financial

statement, and a fraudulent financial statement filed with the

promoter/debtor's disclosure statement and plan for reorganization.

Prior to appearing in court conducted an intensive investigation (which

included a thorough examination and analysis of the respective financial

statements which exposed the falseness of the two statements, where in

both instances the fallacious financial statements were meant to deceive

the investors and the bankruptcy court respectively, but discovered in

the examination and analysis and used against the promoters. The

promoters vigorously defended including hiring several different law

firms and even approaching the PSC with veiled threats. Prepared and

submitted a lengthy, detailed and complex written brief, which was also

the basis for my oral argument, both of which were well received by the

court. Court denied approval of the promoter/debtor's disclosure

statement and plan for reorganization and instead created a creditor's

committee - as requested by the PSC. Subsequently negotiated with

opposing counsel on the makeup of the creditors committee, the result of

which was very favorable to the investors /complainants and the

creditors. The investors had their money returned to them.

. And criminal referrals including to the U S Attorney (and then many times

working with the person to whom the case was referred).

. Moreover, wrote sections of the regulations adopted under the

Pennsylvania Securities Act involving Compliance by broker-dealers and

investment advisers. Also, liaised with the Banking and Insurance

Departments.

Mutual Fund Subsidiary of Wilmington Trust Company (WTC), Wilmington, DE

1996

Attorney and fund Administrator with Rodney Square Management Corp. Mutual

Fund subsidiary of WTC

. For this mutual fund subsidiary whose funds had been included equity,

bond/fixed income, and money market funds prepared registration

statements, statements of additional information, proxy statements, and

other SEC filings; monitored and ensured compliance with certain matters

pursuant to the Investment Company Act of 1940 including Rule 38a-1 and

Rule 2a-7 (the money market fund rule)

. Deregistered and dissolved an international mutual fund going through all

the requirements of closing a fund, including completing all SEC forms

with complete disclosure, correctly complying with all the proxy

regulations, and in addition, ensuring that the investors received no

loss from the date of their vote in approving the plan, with no

complaints or issues from the SEC, which was originally skeptical of the

plan.

. Member of the investment committee. Performed as the company's SEC Rule

2a-7 expert

. Liaised and consulted with sub advisers.

City of Philadelphia Law Department, Philadelphia, PA

1995 - 1996

Assistant City Solicitor, Counsel to City of Philadelphia Board of

Pensions and Retirement, and Counsel to the Philadelphia City Employees'

Deferred Compensation Plan

. As Assistant City Solicitor was counsel to two pension/retirement funds

providing extensive counsel on securities, finance, investments,

fiduciary duties, litigation, commercial transactions and contract

issues. Wrote expert opinion on fiduciary duty for plan managers and

the board of directors; plus had extensive contract experience

Student at Temple Univ. School of Law, Philadelphia, PA (and other

activities during his period) 1990-1994 After finishing in the top 1% of

participants in the Law School Aptitude Test obtained law degree at Temple

University School of Law with several honors, including receipt of the

American Jurisprudence Award- Legal Research And Writing: appellate brief

being designated "Best Paper"; highest class grade in Advanced Trial

Advocacy; Distinguished class performance in Securities Regulation,

Bankruptcy, Professional Responsibility.

JAJ

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. During this period also served as an arbitrator on numerous commercial

and securities arbitrations, including complex securities, contracts, and

business valuation arbitrations with the arbitration forums of

the AAA, NYSE, NASD, Philadelphia Stock Exchange, and the Municipal

Securities Rulemaking Board.

. Additionally, served as a summer associate (1993) with a premier

nationally recognized securities class action law firm. Analyzed loan

portfolio of a major bank holding company for complex securities class

action litigation which analysis and my memorandum thereon were essential

elements to a very successful negotiated settlement ( discovered and

documented several loans that the bank was carrying at overvalued

amounts). My participation in the negotiation discussions was also an

important element in the successful negotiated settlement.

Also, produced for the

firm a legal memorandum on trust and fiduciary duties (based on new

Restatement) which was widely circulated among other class action law

firms.

. Furthermore, served a short-term voluntary clerkship with the then Chief

Bankruptcy Judge.

. Additionally, served as a consultant on securities and corporate finance

matters.

. Also, taught finance and investment courses at various institutions.

Work Experience in Securities Industry including institutional and high net

worth retail securities sales and sales management, Corporate

Finance/investment banking prior to Law School

. Prior work experience, all with exceptional accomplishments, and all with

premier securities broker dealers/investment advisers/ investment bankers

included broad and successful experience in institutional and high net-

worth retail securities sales and sales management (involving both equity

and fixed income securities including municipal bonds), branch office

management, regional sales management, securities research/analysis,

investment management, trust account management, corporate finance,

acquisitions & mergers, private placements, venture capital, some

private equity and alternative investments, some examples of the latter:

(a) for a major NYSE chemical company conducted a comprehensive

acquisition search assignment, including due diligence and valuations;

(b) initiated and advised on sale, including due diligence and valuation,

of large private company to major NYSE electronics company; (c) for a

bank holding company conducted a comprehensive acquisition search

assignment, including due diligence and valuations, for mortgage banking

companies; (d) obtained offer of financing from prestigious venture

capital firm for growing health care company at prearranged terms; (e) in

addition, structured and obtained an offering of a private placement from

a major insurance company for a bank holding company. In addition, some

lending to corporations and very wealthy private customers, problem

loans, workouts, bankruptcies and regulatory liaison (Federal Reserve

Bank). (Selected to compete in a "Model Investment Portfolio Contest" by

a leading world class mutual fund organization and placed first in

competition with some of the best national investment managers.)

Education, Licenses, and Bar Admissions

Temple University School of Law, Juris Doctor (1994), please see above:

Student at Temple University School of Law, Philadelphia, PA (and other

activities during this period.

Johns Hopkins University, Bachelor of Arts Degree in Economics,

Mathematics, and Finance

Holder of a full academic/athletic scholarship, superb grades, selected by

chairman of economics department to write on his favorite securities issue

(the relative price movements between high priced and low priced listed

stocks) as my senior thesis, and received a grade of ("A"), a very rare

grade for him to give, received an unusual ("H") honors grade in another

advanced economics course, member of Economics Honor Society, member of

student counsel, president of social fraternity, played varsity baseball,

worked part time as a securities analyst and portfolio manager at a major

trust company.

Securities Industry Licenses - Held Series 7, 14, 24

Bar Admissions - Commonwealth of Pennsylvania; District of Columbia; US

District Court E.D. PA (The Pennsylvania Bar has reciprocal privileges with

the bars of many other states, including NY, WI, CT, MA, ME,VT, NH, VA,

NC, IL, IN, MI, MO, OH, and TX.[pic]

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