SEC Fines Canaccord Genuity $20 Million for Anti-Money Laundering Program Failures
Canaccord Genuity LLC agreed to a $20 million SEC penalty for widespread anti-money laundering program failures affecting its international operations.
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Global Employee Engagement Hit a Record Low and Nobody Is Talking About It
Gallup’s 2026 State of the Global Workplace report delivered a number that should stop every executive in their tracks: global employee engagement fell to 20% ...
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SEC Charges John Sterling Myers and Sterling Capital in $3.6 Million Pooled Investment Fraud
The SEC charged John Sterling Myers and Sterling Capital with a $3.6 million pooled investment fraud affecting at least 28 investors in Illinois.
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Foundations Investment Advisors Fined $1.2 Million by SEC for Conflict-of-Interest Disclosure Failures
Foundations Investment Advisors was fined $1.2 million by the SEC for failing to disclose conflicts of interest related to client investment recommendations.
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The Overwhelmed Manager Epidemic: Why 71% of Managers Are Burning Out
New data from Gallup’s 2026 State of the Global Workplace report reveals a number that should stop every CEO cold: 71% of managers say they ...
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Craigg McRae Fined $5,000 and Suspended by FINRA Over Unauthorized Discretion at Wells Fargo Advisors
Craigg McRae was fined $5,000 and suspended 15 days by FINRA for exercising unauthorized discretion in six Wells Fargo Advisors customer accounts.
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