Reid and Rudiger LLC Expelled by FINRA Over Supervisory Failures
Reid and Rudiger LLC has been expelled from FINRA membership following disciplinary action related to significant supervisory and compliance failures at the broker-dealer firm. The ...
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How DiSC Assessments Fix Hybrid Team Dynamics
The data that got my attention Half of hybrid workers say collaboration is harder now than before the shift to mixed remote and in-office schedules. ...
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William David Miller Suspended by FINRA for Rule 8210 Non-Cooperation at Broker-Dealer
William David Miller has been suspended by the Financial Industry Regulatory Authority after failing to respond to information requests issued under Rule 8210. The suspension ...
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SEC Charges Phoenix American Hospitality and William Perch Nelson Over $86 Million Hotel Fund Fraud
The Securities and Exchange Commission charged Phoenix American Hospitality, LLC and its president William Lee “Perch” Nelson with defrauding more than 2,000 retail investors in ...
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The Manager Burnout Cascade: How 14 Months Become a Team Collapse
The most striking number in Gallup’s 2026 State of the Global Workplace is not the headline 20% engagement figure. It is the manager engagement drop: ...
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Jennifer Basey Suspended Three Months by FINRA After Secretly Paying Stifel Nicolaus Clients
Jennifer Basey, a former registered representative at Stifel, Nicolaus & Company, Incorporated, was suspended for three months and fined $10,000 by FINRA in June 2026 ...
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