FINRA suspends Willie Lin: ex-Transamerica advisor made 990 unauthorized annuity trades
FINRA has suspended Willie Lin, a former Transamerica Financial Advisors broker in Buffalo Grove, Illinois, for seven months and fined him $10,000. FINRA found that ...
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FINRA bars former Thrivent broker Nicholas James Hale for forged life insurance signatures
FINRA has barred Nicholas James Hale, a former Thrivent Investment Management broker based in Stewartville, Minnesota. The regulator found that Hale forged his estranged wife’s ...
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The Overwhelmed Manager Epidemic (And What CEOs Must Do)
The data that got my attention Deloitte’s 2025 Global Human Capital Trends report finds that nearly 40% of a manager’s day is eaten up by ...
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MML Investors advisor Edward Costigan Jordan faces $17.5 million complaint over premium financing strategy
MML Investors Services advisor Edward Costigan Jordan faces a pending customer complaint seeking $17.5 million in damages over a life insurance premium financing strategy, according ...
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FINRA complaint: former Wilmington Capital broker Jason Foley refused three investigation requests from jail
FINRA’s Department of Enforcement filed a disciplinary complaint against former Wilmington Capital Securities broker Jason Foley on October 26, 2026, alleging he refused to answer ...
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The Manager Burnout Multiplier: New Data Shows Why Stressed Leaders Become a Team-Wide Attrition Crisis
The data that got my attention Three numbers from the latest workforce research should change how executives think about retention. Gallup’s 2026 State of the ...
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