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The firm and a former rep recommended a course of actions that helped the wirehouse and hurt the customer, according to the FINRA arbitration case.

Citigroup, whose U.S. wealth management business oversees about $181 billion in client assets, created a new business to sell products through independent advisors as CEO Jane Fraser maps a path to managing more money for wealthy individuals.

Greg Zolkos is president and CEO of Atlas Professional Services, a Tampa, Florida-based IT support services provider. Reach him at gzolkos@atlasps.com and (813) 999-4499.

With practices innovating in the way that they engage with clients and prospects, some may be missing out on business opportunities.

Wendy Walker, vice president of regulatory affairs at Sovos, uses her market expertise to create and implement product and solution strategies that help customers meet the demands of a constantly changing regulatory environment. Since joining Sovos, she has helped lead the go-to-market strategy focused on growing the tax and regulatory reporting line of business. 

The advisor failed to disclose the low-interest loans he received from a fraudulent crypto securities issuer in exchange for selling the products, investigators say.

The sale of the robo advisor represents a $1.6 billion dollar vote of confidence for all financial advisors, says Riskalyze CEO Aaron Klein.

It's the latest salvo against funds that don't live up to their green do-good claims.

From ultrarich to moderately wealthy, investors looking for outsized gains are being told to buy into the professional funds. There are risks.

There are now 17 participating schools to bring the program to students in more parts of the country.