Ethical Decision-Making Workshop

An Advocacy & Ethics Advisory Council Sponsored Event.

Do only "bad" people make ethically questionable decisions?

In today's fast-paced and high-pressure world, busy finance and investment professionals often face ethical dilemmas where they must choose between competing and equally compelling options.

Thought the use of real-life examples, we will identify the internal and external forces that can lead any conscientious professional to act unethically. Participants will have an opportunity to consider a series of short, real-life case studies and vote on the best (and, in some cases, the least-worst) outcome.

SPEAKERS

Bradford Jealous, III is a Director and Senior Investigator (Enforcement – Professional Conduct) at CFA Institute, in Charlottesville, Virginia. Bradford investigates matters involving alleged violations of the CFA Code of Ethics and Standards of Professional Conduct by charterholders and candidates that are industry related. He also conducts hearings in front of the CFA Disciplinary Review Committee when necessary. Prior to joining CFA Institute in 2017, Bradford spent over ten years as a senior securities litigator with Mayer Brown LLP’s New York Office. While at Mayer Brown, Bradford engaged in all areas of securities litigation, with an emphasis on government investigations, including FINRA actions, Foreign Corrupt Practice Act Proceedings, SEC and Department of Justice investigations, and white-collar criminal defense. Bradford also served as lead counsel to the former Chief Financial Officer of AIG, Inc. from 2008 through 2017, which included a multitude of government investigations, Congressional hearings, and related actions arising out of the 2008 financial crisis. As a result of his efforts Bradford was named in The Legal 500 US Rankings for Securities Litigation. He was also recently named as a faculty member to the Government Investigation and Civil Litigation Institute. Bradford received his undergraduate degree from the University of Virginia (B.A. – Government) and his law degree from the University of Notre Dame law school, where he was a Thomas J. White Scholar and an editor of the Notre Dame Journal of Law, Ethics and Public Policy. While attending law school Bradford served as a clerk in the U.S. Attorney’s Office for the Western District of Virginia. Prior to law school, Bradford served as a Captain in the U.S. Army with the 10th Mountain Light Infantry Division in Fort Drum, NY.

Paul R. Johnson is a Manager and Special Investigator (Enforcement and Exam – Professional Conduct) at CFA Institute in Charlottesville, Virginia. Paul supervises the PC-Exam team, which oversees candidate disclosures and exam-related conduct. Paul also investigates matters involving alleged violations of the CFA Code of Ethics and Standards of Professional Conduct by charterholders and candidates, both industry and exam related. In addition, Paul prepares and, when necessary, presents cases to the CFA Disciplinary Review Committee. Prior to joining CFA Institute for a second time in 2015, Paul spent 17 years in the insurance industry with the final nine years as a field liability adjuster overseeing litigation defense work by lawyers and firms in a four-state territory. This included organizing and participating in numerous mediations, arbitrations, other forms of dispute resolution. Paul also served as an arbitrator on numerous panels for Arbitration Forums and he earned the Chartered Property Casualty Underwriter (CPCU) designation. Prior to working in the insurance industry, Paul spent six years at the Association for Investment Management and Research, the predecessor to CFA Institute, with the final four years as a staff attorney in the legal department. Paul earned the Claritas – Investment Foundations certificate from CFA Institute, the Certificate of Achievement in Investment Adviser Core Compliance from the NRS, and certification as a Dispute Resolution Arbitrator by FINRA. In addition, Paul received his undergraduate degree from Lynchburg College – University of Lynchburg (B.A. – Speech Communications) and his law degree from the University of Richmond law school. He is a licensed attorney in Virginia (Associate Status) and District of Columbia (Active Status).

Julia McDonough is a Director and Senior Investigator (Enforcement – Professional Conduct) at CFA Institute, in Charlottesville, Virginia. Julia investigates matters involving alleged violations of the CFA Code of Ethics and Standards of Professional Conduct by charterholders and candidates that are industry related. He also conducts hearings in front of the CFA Disciplinary Review Committee when necessary. Before joining CFA Institute as a director and senior investigator, Julia McDonough worked for several years at an international law firm, first as an associate and then as counsel. Julia’s practice concentrated on securities enforcement, litigation, and broader corporate governance and compliance issues. She has represented major public companies, accounting firms, broker-dealers, investment advisers, mutual funds, hedge funds, and individuals under investigation by the Securities Exchange Commission, the United States Department of Justice, and the Financial Industry Regulatory Authority. She also has extensive experience conducting independent investigations on behalf of, and providing counsel to, boards of directors and audit committees of public companies. Julia has also earned a doctorate in U.S. history and taught at the university level.