Professional Conduct: Enforcing CFA Insitute's Code and Standards 

This Luncheon is Complimentary to all

CFA society of Atlantic Canada Members

Jeffrey K. Stith

 Head of Enforcement in Professional Conduct, CFA Institute   

Jeffrey K. Stith is Head of Enforcement in Professional Conduct at CFA Institute, in Charlottesville, Virginia. Mr. Stith and his group investigate and conduct disciplinary proceedings of industry-related matters involving illegal and unethical conduct by CFA Institute members and candidates. The group currently has jurisdiction over more than 175,000 CFA charterholders working in 165 countries.    

 Mr. Stith joined CFA Institute in 2008, after serving for seven years as Chief Litigation Counsel in the Market Regulation Department of FINRA, the primary self-regulatory organization for the securities industry in the United States. In that role, he was responsible for conducting and managing investigations, and bringing enforcement actions in cases involving fraud, insider trading, and market manipulation. Prior to joining Market Regulation, Mr. Stith was in FINRA’s Enforcement Department for ten years, where he investigated and litigated many of the group’s most complex, high profile cases. He also worked with federal prosecutors in several criminal matters, including the investigation of Jordan Belfort, the “Wolf of Wall Street.”

 Prior to joining FINRA, Mr. Stith was in private practice in Washington, D.C., where he represented and advised clients in regulatory investigations and white-collar criminal cases. He began his career as a federal prosecutor in the U.S. Attorney’s Office in Ohio, where he was a member of the Justice Department’s Organized Crime Task Force. In that role, he participated in prosecutions involving fraud and political corruption. He is a graduate of the University of Virginia (B.A., Foreign Affairs) and Case Western Reserve University School of Law (J.D.), where he was editor of the law review.    

Bradford Jealous, III 

 Director and Senior Investigator (Enforcement – Professional Conduct), CFA Institute

Bradford Jealous, III is a Director and Senior Investigator (Enforcement – Professional Conduct) at CFA Institute, in Charlottesville, Virginia. Mr. Jealous 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, Mr. Jealous spent over ten years as a senior securities litigator with Mayer Brown LLP’s New York Office. While at Mayer Brown, he 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. Mr. Jealous 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 crises. As a result of his efforts Mr. Jealous 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.

 Mr. Jealous 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 he was a summer clerk in the U.S. Attorney’s Office for the Western District of Virginia. Prior to law school, Mr. Jealous served as a Captain in the U.S. Army with the 10^th Mountain Light Infantry Division in Fort Drum, NY.