Selected in December, panelists tasked with job of conveying investor concerns to regulator.

Retired dealing representative does not intend to return to the industry.

Advisor penalized after admitting to ‘facilitating stealth advising’.

Investor protection funds also merge.

Title protection framework work focused on approving credentialing bodies

Mutual fund representative also ignored regulator’s investigation into his conduct.

Firm also accessed another firm’s back office using would-be rep’s login credentials.