Practice management

Citigroup will pay almost $2 million to settle SEC allegation that two of the bank's brokerages recommended trades to customers without appropriately mailing disclosures to them.

Perella Weinberg's self-reporting of violations led to a much smaller fine than those imposed on other firms.

New FPA and eMoney research finds that financial planners who actively integrate a client portal into their practices have better client outcomes, including reduced financial anxiety and increased loyalty and trust.

The former employee is accused of shuffling information to two friends.

The president of Kestra Financial spoke with FP about the power of using relationships to help recruit big talent, and how the firm differentiates on the talent market.

Former SEC lawyers say regulators are now likely going through their cases and deciding which are emergencies worth pursuing even if the agency's staffing is severely reduced.

The new guidance from the agency lays out the complicated rules for qualifying for up to $5,000 in subsidies per residence under the Inflation Reduction Act.

Financial advisors getting calls or emails from panicked investors can remind them that experts predict any economic impact would be limited and temporary.

Reuters reports that federal regulators have brokered deals with two dozen firms.

A wealth manager in Cincinnati has little room for new clients, especially one with few assets to manage. Can he turn him down?