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Ashley Hutto-Schultz is a senior associate in the Corporate and Finance practice at Hogan Lovells.

Aaron Cutler is a partner and head of government relations and public affairs practice at Hogan Lovells.

Diane O'Hara is vice president and solutions principal at Medallia.

John Sensiba, CPA, is managing partner of Sensiba San Filippo LLP.

Candice Eaton Gaul is global diversity and inclusion leader at RSM International.

Jo Stahl is fiduciary tax administrator at Prairie Trust, a division of Waukesha State Bank. Reach her at (262) 522-7413 or jstahl@waukeshabank.com or https://prairietrust.com.

Roberta Rafaloff is the vice president of institutional income annuities at MetLife.

Rob LaHayne is the CEO of TouchCare.

The wealth manager whose parent firm also owns an insurer and asset manager settled its third case involving the same time period.

The allegations involving 12b-1 fees, cash sweeps and commissions also include violations of best execution rules.