Attorney Conflicts of Interest and Prohibited Transactions: Identifying and Resolving Ethical Challenges

Ms. Bovitz is a shareholder and trial lawyer who defends professionals in litigation, regulatory, and disciplinary matters. She is an experienced trial and appellate lawyer who has served as a Managing Attorney at the Minnesota Office of Lawyers Professional Responsibility and has also served the public as a prosecutor.

Mr. McDonald primarily represents investment advisors and broker-dealers, providing regulatory counseling services to firms at all stages of their development. He specializes in providing legal and compliance support for investment advisors and broker-dealers to assist them in navigating financial services regulation, examinations and enforcement proceedings. To his practice, Mr. McDonald brings experience as an in-house counsel and senior compliance analyst at an RIA with approximately $80 billion in AUM, as well as in-house experience at a dually registered Broker-Dealer. He has also worked as a Regulatory Affairs Counsel at the Financial Services Institute and has spent time working with the Investment Adviser Association and the SEC's Divisions of Enforcement and Trading and Markets. Mr. McDonald has significant, hands-on experience managing compliance programs, including drafting regulatory filings, managing and monitoring a code of ethics, reviewing and approving marketing materials as well as responding to requests from clients and regulators. He has provided his insight to Financial Advisor IQ and his thought pieces on investment advisor and broker-dealer compliance have been published by Law360 and NYU’s Program on Corporate Compliance.”