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In a panel held by NASAA, experts from giant wealth managers explained how reps and their teams often serve as the first line of defense.

United statesDebbie nouryNancy heffnerHeather murphyRichard szuchMarin gibsonThomas mierswaEdward jonesFidelity investmentsMorgan stanleyDepartment of justicePreservation growth fundAmerican securities administrators associationCapacity committeeCompliance divisionCommonwealth financial network