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

Ms. Bovitz is a shareholder, trial lawyer, and associate general counsel at Bassford Remele, with decades of experience as a trial and appellate lawyer. Jennifer has demonstrated success in serious criminal, complex civil and appellate matters. She has successfully obtained full defense verdicts on behalf of healthcare clients as well as dismissals of regulatory complaints. Ms. Bovitz litigates and serves as trial counsel in medical and legal malpractice cases in addition to representing professionals in regulatory matters before the Office of Lawyers Professional Responsibility, Board on Judicial Standards, and all health licensing Boards. As a former prosecutor, she gained significant jury trial experience prosecuting serious felonies. In addition to her criminal and civil litigation and trial experience, Ms. Bovitz is an experienced ethics lawyer who served as a Managing Attorney at the Minnesota Office of Lawyers Professional Responsibility where she investigated and litigated attorney discipline and reinstatement matters. She is a frequent CLE presenter and ethics columnist and has served as adjunct faculty at Mitchell Hamline School of Law.

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.”