Practice management

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 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.

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.

U.S. District Judge Ellen Segal Huvelle said the case was "not ripe for review" because the bank and others could not prove financial injury resulting from the new law.

One of the leading contenders to be the next chairman of the Federal Reserve, Lawrence Summers, has been a paid consultant to Citigroup and other financial institutions. Opponents of his nomination are sure to seize upon this.

Research conducted by ING U.S. underscores the growing role that retirement income planning continues to play in the readiness levels of working Americans.

The government should strip U.S. stock exchanges of the legal status that protects them from most lawsuits, a trade group for brokers said.

Barclays Plc is joining Citigroup Inc. and UBS AG in targeting millionaire clients in Africa as the continent’s fastest-growing economies swell a rich list topped by billionaires Aliko Dangote and Johann Rupert.

Former U.S. Senate aides Michael Piwowar and Kara M. Stein won confirmation as members of the Securities and Exchange Commission. The current SEC chairman Mary Jo White was also confirmed to a full term that expires June 5, 2019.

Some technology challenges come even after you've made your software decisions. Recently, new soloist Dave Grant has been struggling with his CRM system.

Wedbush has brought on the former president of First Washington amid questions over his supervision of a former employee.

After a study found 53% of advisors intended to boost their allocation to U.S. equities, Denver-area CFP James Osborne took to Twitter to respond.

Setting realistic expectations for clients up-front is crucial to the relationship and can help you bring in new business.

Brokers who hold investors’ assets will have to file quarterly reports attesting to compliance with measures toprotect customer money and securities under rules adopted by the U.S. Securities and Exchange Commission.

A new poll indicates that more men than women may be willing to hire women as their financial planners.

Your clients come from a host of different cultures, whether you realize it or not. What are you missing?

Our legal expert discusses how to make sure you're getting your due in commissions.

Here's how to host an event that builds client business and referrals—without all the awkwardness

Wealth management firms target their young ultra-high net worth investors to strengthen ties to keep the clients for decades.