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Aaron Parthemer misrepresented investments to his pro athlete clients, the regulator claims.

Concentrating too much of a client's portfolio in U.S. stocks creates too much risk.

Those recognized for their excellence in innovation and leadership across the asset management industry includes State Street CEO Jay Hooley.

Retirement plan advocates are urging the federal government to allow Hurricane Harvey victims to withdraw from their 401(k), IRA and other retirement accounts without facing any penalty.

In the last month, RBC has hired six teams from wirehouses and other regional firms.

The DoL rule has contributed to both the overall drop and a market shift, say LIMRA experts.

IRA balances are up, and so are divorces, particularly among baby boomers. These so-called gray divorces have roughly doubled over the past 25 years, according to the Pew Research Center.

As prospects for the best interest contract exemption fade, the Labor Department is pursuing a "streamlined" exemption for conflict-free mutual fund shares.

Here are six ways to cultivate a relationship with your client that lasts from Financial Planning columnist John J. Bowen Jr.

Clients should consider postponing their retirement, especially if they work for the federal government.