FINRA fines First Citizens Investor Services $500,000 over 3.5 million unreviewed emails
FINRA has fined First Citizens Investor Services, Inc. $500,000 and censured the Raleigh, North Carolina brokerage firm. In a disciplinary settlement dated October 30, 2026, ...
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The 4:1 Change Management Return Most Organizations Are Leaving on the Table
The data that got my attention Deloitte’s latest change management study, released in October 2026 with Workplace Intelligence, surveyed 1,000 C-suite and executive leaders responsible ...
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SEC upholds FINRA sanctions against Michael Ciro Colletti for unauthorized trading
Broker Michael Ciro Colletti has exhausted his final appeal. On October 21, 2026, the Securities and Exchange Commission affirmed FINRA sanctions against the former representative ...
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SEC Charges Adviser Cary Urich After 54 Clients Lose 70 Percent in Leveraged ETFs
The Securities and Exchange Commission charged Greenville, South Carolina investment adviser Cary Urich with breaching his fiduciary duty to 54 mostly elderly clients. The clients ...
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SEC Charges BG Wealth Sharing and DSJ Exchange in $130 Million Crypto Fraud Scheme
The Securities and Exchange Commission charged BG Wealth Sharing Ltd and DSJ Exchange Pty Ltd on October 29 with raising more than $130 million from ...
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The 99% vs. 25% Communication Gap That Derails Transformations
The most expensive mistake in organizational transformation is not the technology choice or the budget estimate. It is the assumption that employees understand what is ...
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