Oppenheimer & Co. Agrees to $1.2 Million SEC Penalty Over Municipal Securities Violations
Oppenheimer & Co. Inc. has agreed to pay a $1.2 million civil penalty to settle Securities and Exchange Commission charges related to municipal securities violations. ...
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The Quiet Quitting Epidemic Is Actually a Leadership Crisis
Gallup’s 2026 State of the Global Workplace report confirms what many executives suspected but few have confronted: 59% of employees worldwide are quietly quitting. They ...
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Merrill Lynch Faces $7.5 Million SEC Penalty for Suspicious Activity Report Failures
Merrill Lynch, Pierce, Fenner & Smith Incorporated has agreed to pay a $7.5 million civil penalty to settle Securities and Exchange Commission charges. The broker-dealer ...
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Pictet Overseas and Blue Ocean ATS Fined $1.1 Million for AML and Supervision Failures
FINRA fined Pictet Overseas and Blue Ocean ATS more than $1.1 million combined for anti-money laundering program failures and supervisory deficiencies.
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Why 56 Percent of Employees Want Hope From Their Leaders and Most Managers Are Missing It
A new Gallup-style workplace survey reveals that 56 percent of employees want hope from their leaders, yet most managers are missing the mark. The gap ...
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Reid & Rudiger LLC Expelled by FINRA for Churning and Excessive Trading
FINRA expelled Reid & Rudiger LLC and barred principals Clifford Reid and Edward Rudiger for churning customer accounts and violating Regulation Best Interest.
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