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A FINRA panel has ordered Citigroup and a former branch manager to pay a combined $11 million in remuneration.

Ascent Private Capital Management has hired four managing directors, each supported by a national advisory team of more than 30 wealth experts.

The search for yield has been a persistent and vexing challenge for anyone charged with managing money. But what are the options?

Focus Financial Partners, one of the country’s largest RIA aggregators, has recorded its fourth deal of the year.

The CFP Board is hosting a webinar on "how to avoid misleading compensation disclosures" -- the very issue at the heart of the board's public sanction of former CFP Board Chairman Alan Goldfarb.

Morgan Stanley and Co. has agreed to pay $100,000 to the New Jersey Bureau of Securities. This came after Bureau investigators found the company was in violation of state securities laws and regulations in its sale of non-traditional exchange-traded funds to investors.

Investing directly in private companies is becoming increasingly popular with wealthy families.

Do other planners or professional colleagues know your ideal client profile? You may be missing out on business if they don’t know who to refer to you, says new solo advisor Dave Grant.

Taking a cue from fashion designers, tech companies and others, PNC has opened a temporary pop-up branch to introduce its brand and its digital services to a relatively unexplored market for the Pittsburgh bank: Atlanta.

KeyCorp has sold its asset management and broker-dealer businesses for more than $50 million less than originally anticipated.