Jeffrey LauExpert Witness

Jeffrey Lau has more than 35 years of experience within the financial services industry. He has served as as a Chief Compliance Officer and Compliance Director at some of the leading Wall Street firms both within the Wealth Management and the Institutional sectors of the business.  His areas of expertise include regulatory rules, industry-wide best practices, supervision oversight, suitability, branch audit programs and branch reviews, development of compliance exception reporting, and regulatory filings, among others.  He is a highly-seasoned professional, experienced in all facets of compliance.

In earlier roles, he held Chief Compliance Officer positions in firms, including Director Private Client Compliance and Chief Compliance Officer at Jefferies Investment Advisers, LLC (JIA), Director-Institutional Sales Compliance at Merrill Lynch, Director of Compliance at Donaldson, Lufkin & Jenrette Securities Corp., and was a Senior Compliance Analyst in various firms for Equity & Fixed Income Trading.  Earlier in his career, he served as a Branch Examiner and Senior Margin Analyst.

Mr. Lau also has extensive knowledge of 144/145 Sales (restricted stock plans), 10c-18 corporate buy backs, 10b-5 insider sales plans and 19c-3 off board trading.

He earned a Bachelor of Science in Commerce and Business Administration from the University of Alabama.

Jeff holds his Series 3, 4, 7, 8, 14, and 63 securities industry licenses.

 

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