GSLC Dissertations : New and Featured

Ethical Imperatives for Rational Paternalism in Advisor-Client Relationships

https://aura.antioch.edu/etds/1209/

From the abstract: 

"This study seeks to understand the role of ethics and rational paternalism in the practice of financial advising. A significant amount of research examines the effects of rational paternalism on the governmental and institutional levels. Very little research has addressed the issues associated with rational paternalistic behavior by advisors toward their clients. Investopedia (2013) focuses on advisors’ ethics and moral responsibilities, underscoring the ethical standards clients should expect from their financial advisors. However, practically none of the literature examines the ethics, morals, and practical aspects of individual paternalism. In response, this study examines the concept of rational paternalism in advisor-client relationships, its underlying principles, and its application in the financial services sector. It discusses the potential benefits and ethical considerations of adopting an advisor-client rational paternalistic approach in financial decision-making. The aim is to shed light on its implications for consumers and financial service providers and raise the general level of professionalism in the financial services industry. Most importantly, and specifically related to the advisor-client relationship, the significance of this study lies in the potential for rational paternalism to provide financial advisors with the same level of professionalism enjoyed by other professions, such as law and healthcare. The findings that emerge from this study include the fact that rational paternalism is practiced in a wide range of disciplines, most especially healthcare and social work, where clients’ best interests are paramount. Drawing on this experience, the overarching purpose of this study is to develop an informed and timely answer to the guiding research question, “To what extent is the practice of rational paternalism present in advisor-client relationships?” Second, but no less critical, “What are the advisor’s perceptions about their impact on their client’s decisions and actions?” The findings support the conclusion that rational paternalism is more widely practiced in financial advising settings than reflected in academic literature and that advisors must tailor their level of guidance to match each client’s sophistication and decision-making capacity."

From the AURA: Antioch University Repository and Archive Page

Igor Zey immigrated to the United States in 1978 as a political refugee from the former USSR. After earning his undergraduate degree from UCLA, he began his career in the life insurance industry in 1982, with a passion to touch, move, and inspire his clients toward rational financial well-being.

In 2005, Mr. Zey earned a Master of Science in Financial Services (MSFS) from The American College of Financial Services in Bryn Mawr, Pennsylvania. He holds numerous professional designations, including:

CFP® – Certified Financial Planner™

CLU® – Chartered Life Underwriter

ChFC® – Chartered Financial Consultant

CAP® – Chartered Advisor in Philanthropy

AEP® – Accredited Estate Planner

TEP – Trust & Estate Practitioner (The Society of Trust and Estate Practitioners, London)

Igor is a frequent speaker on a broad range of topics, including international tax and estate planning, charitable strategies, executive compensation, ESOPs, life and disability insurance, and asset protection. He has presented to audiences of attorneys, CPAs (including AICPA and CalCPA), physicians, and fellow insurance professionals.

In addition to his advisory work, Dr. Zey serves as a faculty member at California Lutheran University’s Graduate School of Management, where he teaches Business Ethics.

Faculty Profile

Outside of his professional life, Igor cherishes time with his beloved partner, their six remarkable children, and grandchildren. He also competes in chess, trains in Krav Maga, and actively engages in intellectual discussions spanning philosophy, politics, history, sociology, anthropology, biology, and genetics.

More: California Business Journal Profile

He has a beautiful life partner, six remarkable children, and almost three grandchildren, all adored.

Igor plays chess competitively, practices Krav Maga, and enjoys discussing philosophy, ideology, politics, history, sociology, anthropology, biology, and genetics.

Reassessing Criminogenic Risk: How Trauma-Informed Assessment More Accurately Predicts In-Prison Behavior than Traditional Models

https://aura.antioch.edu/etds/1193/

From the abstract: 

"Criminogenic risk-needs assessment is the cornerstone of recidivism reduction models in the correctional sector. Despite decades of using criminogenic risk-need tools, recidivism outcomes remain stubbornly high in the U.S. This non-traditional dissertation explored how traditional criminogenic assessments could be improved with the addition of measures of childhood adversity and maltreatment. This study found that the prevalence of ACEs was significantly greater in an adult prison population of 1,522 in a rural, western state than in the general public. Utilizing logistic regression, this research also found that ACEs were better predictors of in-prison misconduct than traditional criminogenic risk-needs assessments, although traditional risk-needs tools outperformed the ACE survey when predicting reincarceration. This dissertation is a portfolio of four works that explore traditional criminogenic risk and needs assessment and call for a trauma-informed evolution. The first article serves as an introduction, outlining the rationale for the project and identifying the research questions. The second article is theoretical and includes a review of the relevant literature, specifically criminogenic risk-needs assessment, childhood adversity, and the impacts of maltreatment on neurodevelopment. The third article summarizes my quantitative study examining the relationship between Adverse Childhood Experiences (ACEs) and serious misconduct in prison and reincarceration. The final work synthesizes the research and provides recommendations for correctional leaders to implement a trauma-informed approach, including the addition of assessments of maltreatment and trauma for justice-involved individuals."

From the AURA: Antioch University Repository and Archive Page

Dr. Bree Derrick currently serves as the director of the Idaho Department of Correction, leading approximately 2,200 staff and overseeing the state’s ten prisons, five community reentry centers, and seven district probation and parole offices. She led the department’s recent staffing efforts, generating national recognition for industry best practices in recruitment and retention. She served as the deputy director from 2019 to 2025 and played an instrumental role in deploying pilot initiatives to reduce trauma for individuals living and working in prison, as well as in creating forensic peer mentoring programs within the prisons.

With over 20 years of experience in corrections and behavioral health systems, Bree is nationally recognized for her expertise in evidence-based practices and crime reduction strategies. Bree began her career with the Rhode Island Department of Behavioral Health, Developmental Disabilities and Hospitals, later working at a private psychiatric hospital and the Rhode Island Department of Corrections (RIDOC). During her 10 years with RIDOC, she held roles as a researcher and mental health clinician. Later, she transitioned into a consulting role, where she helped more than a dozen state correctional agencies plan and implement large-scale programs to instill correctional best practices.

Bree has dedicated her career to improving public safety outcomes through reliance on research-based interventions and seeking to deploy and measure new models. She takes a scholar-practitioner approach to her daily work; frequently initiating research projects tied to departmental change as a means to expand the knowledge base in corrections.

Bree believes in centering the human experience of correctional staff, victims of crime, and those under correctional jurisdiction as a means to improve system outcomes. Additionally, she enjoys sharing what is learned with her peers as a frequent speaker in relevant professional associations.

Dr. Derrick holds a Ph.D. in Leadership and Change from Antioch University, a Master of Holistic Counseling, and a Certificate of Advanced Graduate Study from Salve Regina University. She also studied criminology at the graduate level at Sam Houston State University. She maintains licensure as a mental health counselor.

Recent and Upcoming Presentations

2025, October. From ACEs to action: Trauma-informed strategies for mitigating harm in correctional settings [Conference presenter]. International Corrections and Prisons Association

27th Global Conference, Istanbul, Turkey.

2025, February. Achieving public safety through desistance [Conference presenter]. Correctional Leaders Association Deputy Directors’ Conference, Miramar Beach, FL.

2024, September. We Could All Use a coach: How a coaching model for corrections has transformed culture [Plenary presenter]. International Corrections and Prisons Association 26th Global Conference, Singapore.

2024, August. Addressing trauma for correctional staff and clients: Lessons learned from a pilot study in Idaho [Conference presenter]. American Correctional Association 15^th Congress of Correction, Nashville, TN.

2024, August. How the Idaho Department of Correction solved its staffing crisis [Panel moderator]. American Correctional Association 15^th Congress of Correction, Nashville, TN.

2024, August. Corrections staffing considerations [Panelist]. American Correctional Association 15^th Congress of Correction, Nashville, TN.

2023, October. How connection can improve outcomes for correctional staff and incarcerated individuals [Conference presenter]. International Corrections and Prisons Association 25th Global Conference, Antwerp, Belgium.

2023, November. Leading change [Plenary Presenter]. Correctional Leaders Association New Director’s Training, Indian Wells, CA.

A Ticket to the Show: Reclaiming the Margins of Film History Through the Orphan Film Movement

https://aura.antioch.edu/etds/1192/

From the abstract: 

"This dissertation explores the history, development, and legacy of the Orphan Film Movement (OFM), a vital initiative dedicated to identifying, preserving, and promoting cinematic works that have been neglected, forgotten, or left without clear copyright holders. Through the lens of Critical Archival Theory, the research traces the emergence of the OFM from its foundational roots in the broader film preservation movement and examines its evolution through academic, institutional, and community-based advocacy. Drawing on historical research, symposium analysis, and theoretical engagement, this study demonstrates how the OFM reshapes historical narratives, democratizes preservation practices, and redefines what constitutes cultural memory in film history. Particular attention is given to the symposia organized from 1999 to 2024, which served as collaborative hubs for archivists, scholars, and filmmakers. By integrating case studies, legislative milestones, and technological shifts, the dissertation underscores the OFM's transformative role in preserving marginalized cinematic voices and expanding the boundaries of the historical archive."

From the AURA: Antioch University Repository and Archive Page

Charlotte Roi holds a Ph.D. in Leadership and Change from Antioch University. Her research explores the intersection of culture, history, and social transformation, with a focus on how overlooked narratives can inform inclusive and adaptive leadership practices. Drawing on a background in library and information science, Charlotte integrates interdisciplinary approaches to examine the role of memory, identity, and agency in shaping change.

Psychological Safety and Belonging in High-Risk Search and Rescue Teams: A Mixed-Methods Study

https://aura.antioch.edu/etds/1190/

From the abstract: 

"Wilderness search and rescue (SAR) volunteers and teams are essential for the safety of outdoor adventurers, and yet, organizational culture has not been studied closely within this population. While extensive research is available regarding psychological safety in corporate and healthcare environments, the role of psychological safety in high reliability teams, like wilderness SAR, is limited. Organizational belonging is a burgeoning research area that has yet to be explored in wilderness SAR. This mixed methods phenomenological study increased the understanding of the experience of psychological safety and organizational belonging in wilderness SAR volunteers. Initial quantitative statistical analysis that utilized t-tests, correlation analyses, and analysis of variances identified statistically significant results in the experience of psychological safety and organizational belonging for women and men. The relationship between team learning behavior and psychological safety is partially mediated by organizational belonging. Key principles for guiding the growth of psychological safety and organizational belonging as well as specific recommendations for activities and behaviors were provided by the participants’ own voices. This research can be used as a template to build and maintain psychological safety and organizational belonging for teams."

From the AURA: Antioch University Repository and Archive Page

Sarah H. Seiler, PhD, MSN, MBA, RN, is a graduate of Antioch University’s PhD in Leadership and Change program. She brings more than three decades of experience in high-reliability environments, including trauma and critical care nursing, disaster preparedness, emergency services, organ donation, fire service, and wilderness search and rescue. Her work has consistently focused on leading complex systems and multidisciplinary teams in high-stakes settings, with a commitment to safety, collaboration, and human-centered leadership.

Dr. Seiler’s dissertation, grounded in her direct experience as both a leader and team member, explored psychological safety and organizational belonging within volunteer wilderness search and rescue (VWSAR) teams. Using a mixed-methods approach, her research examined how gender, team structures, orientation practices, and leadership influence these critical dimensions of team culture. Her findings offer practical guidance for enhancing learning, trust, and retention in organizations operating in unpredictable, high-risk environments.

Throughout her career, Dr. Seiler has led significant quality and operational advancements—most recently as Chief Clinical Officer of LifeShare Carolinas, where she oversaw system-wide innovations in donor care, regulatory compliance, and performance improvement. Her leadership roles also include regional disaster preparedness coordination, the development of national and international medical training curricula, and executive coaching. She has led multi-agency coalitions, designed simulation-based training programs, and supported critical infrastructure during large-scale events, including the 2012 Democratic National Convention.

Dr. Seiler’s educational background reflects a lifelong commitment to interdisciplinary learning and service. In addition to earning her PhD, she holds a Master of Business Administration with a focus in healthcare from Marylhurst University and a Master of Science in Nursing with a concentration in emergency nursing and disaster preparedness from Adelphi University. Her foundational training includes a Bachelor of Science in Nursing and a Paramedic certification from the University of Alabama at Birmingham, along with undergraduate studies in psychology at Antioch College. This diverse educational foundation supports her ability to lead, coach, and conduct research across complex systems and high-reliability environments.

Sarah’s professional and scholarly endeavors are driven by a central passion: creating environments where individuals and teams are empowered to thrive. Whether leading in crisis, coaching teams through transformation, or contributing to the academic understanding of leadership and change, her work is rooted in the belief that belonging and voice are essential for growth, resilience, and sustainable impact.