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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SEC bars CryptoFX salespersons Elizabeth Escoto and Reyna Guiffaro for unregistered selling
Two salespersons for CryptoFX, LLC are now barred from the securities industry after separate SEC orders this month. Elizabeth Escoto, a 53-year-old resident of Kenner, ...
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