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The investigation, which spanned four years and involved 14 state regulators, revolved around how the firm supervised the transferring of brokerage account assets into advisory accounts.
The Financial Services Institute also brought on four new board members, including Commonwealth Chief Regulatory Affairs Officer Robert Molinari and Broadridge Financial Solutions President Chris Perry.
At 17 years old, Michelle Begina found out her parents used her college fund to buy a yacht. The decisions she made after stepping off that dock have shaped the woman she is today.
