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One Year Later: Reg BI and COVID-19 Outbreak

Date: Wednesday, June 23, 2021
Time: 3:00 pm - 3:45 pm

Join this expert panel to discuss the past year’s challenges for independent financial services firms and RIAs implementing and enforcing Reg BI through the pandemic. Areas of concern include:

  • Compliance and supervision challenges
  • Execution of business continuity plans
  • Regulatory/litigation framework

Moderator

Chad Weaver

Partner
Freeman Mathis & Gary

Chad Weaver is the office chair of Freeman Mathis & Gary’s Orange County office and practices in the downtown Los Angeles office. Chad is a trial attorney with a focus on representing Financial Institutions and related service providers. He chairs the firm’s Financial Services practice section.

Chad’s practice centers on disputes and regulatory matters before the Financial Industry Regulatory Authority, the United States Securities and Exchange Commission, the California Department of Corporations and the California Department of Insurance. He has substantial experience representing securities broker dealers, registered representatives, investment advisors and insurance agents in an array of civil and regulatory disputes.

Chad is a member of the State Bars of California and Florida, Financial Services Institute (FSI), and Securities Industry and Financial Markets Association (SIFMA).

Speakers

Kurt Lofgren

Of Counsel and Senior Compliance, Regulatory Consultant
Freeman Mathis & Gary

Kurt Lofgren is Of Counsel and Senior Compliance and Regulatory Consultant to Freeman Mathis & Gary. In this role he leads a group of staff to help clients develop effective compliance programs consistent with their business strategies, create effective risk mitigation programs and resolve regulatory issues. His consulting services focus on investment adviser and broker-dealer matters.

Kurt has been an executive compliance leader and attorney at various firms throughout his career. Most recently, Kurt led LPL Financial’s Business Risk Management department, as well as serving as CCO for the firm’s investment adviser. Prior to joining LPL, he was the CCO for Ameriprise Financial, leading the firm’s regulatory compliance program for its’ broker-dealer, investment adviser, and insurance/annuity affiliates, as well as oversight for the clearing functions, trading, and domestic and offshore operations. Earlier in his career, Kurt worked for the Securities Exchange Commission for several years before becoming Corporate Counsel for OLDE Financial and then Assistant General Counsel for Northwestern Mutual.

Kurt has also been actively involved in the industry previously serving on the Financial Services Institute’s Compliance Council, the Securities Industry and Financial Markets Association’s (SIFMA) Compliance and Regulatory Policy Committee and the Financial Industry’s Regulatory Authority’s (FINRA)Membership Committee. Kurt maintains the Series 7 and 24 securities registrations.

Brian O’Donnell

Senior Consultant
Freeman Mathis & Gary

Brian O’Donnell is a member of the Compliance and Regulatory Consulting team at Freeman Mathis & Gary.

Brian has been an active leader in the industry and has spoken on or moderated a number of discussion panels for various industry trade organizations including chairing the Due Diligence and Complex Product Council and co-authoring a White Paper on Due Diligence and Complex Products for the Financial Services Institute (FSI). Areas of expertise include oversight and development of internal compliance and regulatory controls related to product development and distribution on both brokerage and advisor platforms with an emphasis on developing Sales Practice Surveillance Reviews, FIRA 05/26 and SEC complex products and conflict of interest guidance.

Brian has obtained numerous industry licenses, including the Series 4, 7, 24, 55 And 63.

Prior to joining the firm, Brian was Vice President of Product Distribution Compliance for Ameriprise Financial, Inc., in Minneapolis Minnesota and has over 39 years of experience in the financial services industry.

Kristen Patzer

Partner
Freeman Mathis & Gary

Kirsten Patzer is a Partner in Freeman Mathis & Gary’s Boston office. Kristen is a trial attorney with a practice focused on representing and counseling financial services firms, financial advisors, and registered investment advisors. As former in-house counsel to several financial institutions, including the largest independent broker dealer in the United States and a Fortune 500 financial services company, she brings a distinctive set of skills, experiences, and insights to her litigation practice.

Kristen’s experience includes defending broker dealers and financial professionals in hundreds of arbitration and litigation matters, involving an array of issues including: selling away, misappropriation of funds, expungement, investment suitability, churning, fraud, and product due diligence. She has also handled a variety of employment related matters involving hostile work environment, discrimination, and retaliation claims.

Sponsored by:

Registration Fees

Registration TypeFee
FSI MemberComplimentary
Non-Member$29