How broker-dealer failures to supervise enable churning and suitability violations
A wave of recent FINRA disciplinary actions has exposed widespread failures by broker-dealers to supervise their registered representatives. In case after case, firms allowed churning, ...
Read More →
82 Percent of Managers Are Burned Out: What the 2025 Data Means for Companies
The data that got my attention Eighty-two percent of managers say they feel burned out. That is not an anomaly. It is a structural warning. ...
Read More →
Johnson & Johnson maintains dividend growth after Kenvue spinoff
Johnson & Johnson remains one of the most reliable dividend payers in the healthcare sector after spinning off its consumer health business as Kenvue in ...
Read More →
Cape Securities Ordered to Pay $145,000 in Restitution Over GWG L Bond Sales
FINRA ordered Cape Securities to pay approximately $145,000 in restitution to investors harmed by unsuitable sales of GWG L Bonds, a privately offered alternative investment ...
Read More →
Healthcare REITs rally as senior housing occupancy climbs past pre-pandemic levels
Healthcare real estate investment trusts are gaining momentum as senior housing fundamentals improve and occupancy rates surpass pre-pandemic levels.
Read More →
SEC rescinds no-deny policy on settled enforcement actions
The Securities and Exchange Commission rescinded its long-standing no-deny policy on settled enforcement actions on May 18, 2026. For decades, settling defendants were barred from ...
Read More →
