The former chief compliance officer and controller of Executive Compensation Planners (ECP), a registered investment adviser and financial planning firm, pleaded guilty Tuesday for participating in a Ponzi scheme that defrauded clients out of more than $11 million.

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Jaclyn Jaeger is a freelance contributor to Compliance Week after working for the company for 15 years. She writes on a wide variety of topics, including ethics and compliance, risk management, legal,...