FINRA suspends Finalis advisor Deyon Robertson over illiquid fund recommendation
FINRA has suspended former Finalis Securities advisor Deyon Robertson for five months and fined him $10,000 after regulators found he recommended an illiquid private fund ...
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Hybrid Work Is Now the Norm. Why Half of Teams Still Lack a Collaboration Plan
The data that got my attention Hybrid work is no longer an experiment. As of 2026, it is the most common arrangement for remote-capable U.S. ...
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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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