FINRA Bars Minneapolis Advisor Dan Schmid Over $24,000 Customer Loan and False Statements
FINRA has permanently barred Minneapolis financial advisor Dan Schmid (CRD# 6658306) from the securities industry. A Letter of Acceptance, Waiver, and Consent filed in September ...
Read More →
Why Manager Burnout Spreads Faster Than Individual Burnout
The data that got my attention Gallup’s 2026 State of the Global Workplace report contains a number that should change how leadership teams think about ...
Read More →
SEC Charges Ellen Polcari in $1.28 Million Venture Capital Fund Misappropriation
The Securities and Exchange Commission charged Ellen Polcari, a former employee of two venture capital firms under common ownership, with misappropriating approximately $1.28 million from ...
Read More →
SEC Charges Omar Chavez in $940,000 Trading Scheme Targeting 16 Clients
The Securities and Exchange Commission has charged California resident Omar Dario Chavez with running a fraudulent trading scheme that collected more than $940,000 from at ...
Read More →
The Silent Resignation: Why Manager Burnout Looks Different in 2026
Gallup’s 2026 State of the Global Workplace report finds global employee engagement at 20% in 2025, the lowest level since 2020. The more striking number ...
Read More →
SEC Charges Mark Hanf in $80 Million Pacific Private Money Ponzi Scheme
The Securities and Exchange Commission has charged Mark D. Hanf, the former chief executive of Novato, California-based Pacific Private Money Group LLC, with orchestrating a ...
Read More →
