Great Point Capital LLC Fined $2 Million in SEC Recordkeeping Enforcement Action
Great Point Capital LLC agreed to a $2 million SEC fine and cease-and-desist order for recordkeeping failures under Exchange Act Rule 17a-4.
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The 23% Profitability Gap: What Gallup’s Latest Data Means for Revenue Leaders
Gallup's 2026 report shows engaged teams are 23% more profitable. Here is what the data means for revenue leaders and how to close the gap ...
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Justin Jennings and Vortex Strategies Charged in $2.7 Million Insider Trading Scheme
Justin Jennings and Vortex Strategies LLC face SEC charges over an alleged $2.7 million insider trading scheme involving eight public companies.
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SEC Fines Canaccord Genuity $20 Million for Anti-Money Laundering Program Failures
Canaccord Genuity LLC agreed to a $20 million SEC penalty for widespread anti-money laundering program failures affecting its international operations.
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Global Employee Engagement Hit a Record Low and Nobody Is Talking About It
Gallup’s 2026 State of the Global Workplace report delivered a number that should stop every executive in their tracks: global employee engagement fell to 20% ...
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SEC Charges John Sterling Myers and Sterling Capital in $3.6 Million Pooled Investment Fraud
The SEC charged John Sterling Myers and Sterling Capital with a $3.6 million pooled investment fraud affecting at least 28 investors in Illinois.
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