For failing to credit discounts to customers, Citi will pay $377,000.
Court will determine remedies against Donald Fowler at a later date.
Giving by corporations, foundations, as well as individuals, fell an estimated 1.7%.
Agency says Edward Moody Jr. has already pleaded guilty to one count of mail fraud.
Younger, less educated and less affluent have trouble saving and understanding finances.
Former SEC enforcement attorney will fill Democratic seat vacated by Kara Stein.
Cerulli report finds that affluent clients like the idea, but only about a third do it.
Massachusetts securities cop sees uptick in marijuana-related fraud cases.
RIA based in Costa Mesa, Calif., brings firm's AUM to $16 billion.
Four who also advise on $385 million in institutional assets set up shop in Dallas, Texas.
