She has been retained as an expert witness on AML issues in federal and state courts, arbitrations, and regulatory enforcement actions on variety of matters including market manipulation, check-kiting, Ponzi schemes and High Frequency Trading. Additionally, Ms. Jimenez develops regulatory technology applications and serves as an AML Subject Matter Expert to technology providers.
Ms. Jimenez has a well-rounded background in the securities arena. As a financial examiner/analyst with the Florida Department of Banking and Finance, Division of Securities, she was responsible for investigating consumer complaints and inquiries, performing routine and for-cause audits, and investigating unregistered securities. Immediately prior to founding DSA, Ms. Jimenez oversaw litigation economic analysis for Raymond James Financial, and during her employment there, earned her Series 7 and 24 licenses.
Ms. Jimenez graduated from the Honors College at the University of South Carolina with a B.A. in Economics and a B.A. in International Studies. She also holds a Masters in Business Economics from the University of South Florida. Ms. Jimenez is a Certified Anti-Money Laundering Specialist, serves on the ACAMS Education Task Force, and is a frequent speaker on AML issues.
University of South Carolina at Columbia, Honors College, B.A. in Economics and B.A. in International Studies, 1998
George C. Marshall Center for European Security Studies, Garmisch, Germany, Countering Transnational Organized Crime Program, 2019
U.S. Department of Defense Counter Threat Finance Working Group, member 2016 – 2018
NASD Series 7 & 24 (inactive)
“Strengthening Your Anti-Bribery and Corruption Policies and Oversight,” ACAMS webinar, September 2019.
“Regulatory Technology Innovation”, 36th Annual Cambridge International Symposium on Economic Crime, September 2018.
“Combating Common Fraud, Insider and Manipulative Trading Schemes”, ACAMS webinar, October 2017.
“Investment Fraud Schemes”, 9th Annual Caribbean AML/CTF, Anti-Fraud and Financial Crimes Conference, July 2017.
“Cannabis Banking: Managing AML Risk during Uncertainty”, FinTech2017 Vancouver Conference, May 2017.
“Adopting Compliance Policies for Banking Hedge Funds and other Alternative Investments”, ACAMS AML & Financial Crime Conference, April 2016.
“Securities Fraud”, Association of Certified Fraud Examiners- Tampa, February 2016.
“Securities Spotlight: Effective Transaction Monitoring and CIP for Broker-Dealers”, ACAMS webinar, October 2015.
“Managing KYC/AML Compliance Risk Rather Than Avoiding It”, American Banker webinar, May 2015.
“Dissecting the Inner Workings of Recent Ponzi Schemes”, ACAMS webinar, November 2014.
“Migrant Smuggling: What Financial Institutions Need to Know”, Legal Executive Institute, November 2019.
“EB-5: Pathway to US Citizenship or Money Laundering Concern”, ACAMS Today, September 2019.
“AI Use Carries Bias Risk for Financial Regulators”, American Banker- BankThink, August 2019.
“Unmasking Bias in AML Algorithms”, ACAMS Today, September 2016.
“Banks Weighing Pot Business Find Haze of Misinformation”, American Banker- BankThink, December 2015.
Retained by counsel representing a leading broker-dealer in a FINRA enforcement action as to whether the firm violated AML rules/laws relating to transaction monitoring of high frequency trading accounts for market manipulation.
Retained by counsel on behalf of a major broker-dealer in a FINRA arbitration regarding customer allegations that the firm failed to properly investigate and escalate suspicious transactions per AML rules/laws relating to elder abuse and check fraud.
Retained by counsel representing a bankruptcy receiver to review a federal financial institution’s compliance with AML regulations relating to check-kiting and fraud.
Retained by counsel on behalf of the individual defendant in a state court action in Florida regarding allegations of market manipulation of small-cap stocks.