FINRA Fines Pictet Overseas Inc. $610,000 Over Low-Priced Securities Supervision Failures
FINRA fined Pictet Overseas Inc. $610,000 for AML and supervisory failures tied to low-priced securities transactions through an omnibus account.
Read More →
50% of U.S. Employees Now Use AI at Work — But the Human Skills Gap Is Widening
Half of U.S. employees now use artificial intelligence at work, but most organizations have not caught up. Gallup’s latest workforce data shows a widening gap ...
Read More →
FINRA Suspends Jesse D. Krapf Over Information Failures at Spartan Capital Securities
FINRA suspended Jesse D. Krapf in June 2026 for failing to provide requested information. The broker previously served a five-month suspension for excessive trading.
Read More →
Tom Hulick (CRD# 1806305) Faces $500,000 Investor Complaint at Strategy Asset Managers
Tom Hulick, a Pasadena-based advisor registered with Strategy Asset Managers, faces an August 2025 investor complaint alleging $500,000 in damages from an unsuitable closed-end fund ...
Read More →
The 5 Human Skills That Matter Most as AI Reshapes Work
The data that got my attention Gallup’s fourth-quarter 2025 workplace survey delivered a stark split. Among U.S. workers, 44% of leaders now use artificial intelligence ...
Read More →
SEC Charges Jeffrey Cutter and Cutter Financial Group Over Undisclosed Insurance Commissions
The SEC charged Jeffrey Cutter and Cutter Financial Group with failing to disclose 5 to 10 percent insurance commissions on products recommended to advisory clients.
Read More →
