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As wealth managers brace for new enforcement cases under Reg BI, a case stemming from conduct four years ago may offer some clues about what’s to come.

Jo anne mccuskerJessica hopperBoca ratonMichael edmistonNational securitiesJonathanw evans associatesPublic investors advocate bar associationFlorida based nationalRegulation best interestPublic investors advocate barEnforcement jessica hopperRegulation and complianceAlternative investments