SEC charges BG Wealth Sharing and DSJ Exchange in $130 million crypto fraud
The Securities and Exchange Commission charged BG Wealth Sharing Ltd and DSJ Exchange Pty Ltd with a $130 million fraud built on false SEC filings. ...
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SEC charges Greenville adviser Cary Urich after elderly clients lost 70% in leveraged ETFs
The Securities and Exchange Commission has charged Greenville, South Carolina investment adviser Cary Edward Urich with fraud. The case stems from 54 advisory clients, most ...
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The 79% Manager Engagement Blueprint: What Best-Practice Organizations Do Differently
The data that got my attention Gallup’s 2026 State of the Global Workplace report finds global manager engagement at 22% in 2025, a nine-point drop ...
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FINRA bars Florida LPL advisor Buddy Mason after selling away investigation
FINRA permanently barred Buddy Dean Mason (CRD# 1721391), a former LPL Financial broker in Lakeland, Florida, after he refused to produce records during an investigation ...
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Why Stressed Managers Are 3.5 Times More Likely to Leave — And What It Costs Their Teams
Manager turnover is no longer a human-resources footnote. New data show that burned-out leaders leave at more than three times the normal rate, and their ...
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FINRA suspends former Morgan Stanley broker Ted Byrer over $760,000 options losses
Theodore William Byrer (CRD# 2980696), a former Morgan Stanley broker, accepted a 14-month FINRA suspension on July 23, 2026. The penalty stems from an options ...
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