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The SEC released a letter outlining where the most common deficiencies occur.

If a successor fumbles in those first few months, the group may feel like they have a problem, not a leader.

An adviser at the firm squandered the aging clients' retirement money on oil and gas investments and Puerto Rico bonds, their lawyer said.

With these five funds, clients don’t have to spend a lot for a stock portfolio that pays.

It’s time to serve clients at every income level, the influential adviser says — in a big strategic departure from his firm's past emphasis on landing ever-wealthier prospects.

The executive will set the overall advisory strategy for both CUSO and sister firm Sorrento Pacific as well as RIAs that provide investment and insurance services to financial institutions.

While his views are not universally accepted, the question of whether you can successfully time smart beta is likely to get bigger as the ETFs proliferate.

The money manager is betting on a yuan-denominated note rally in the second half of 2017 and that foreign-investor interest could double in five years.

The standard deduction is the best tax strategy for many seniors, but if they had significant health care costs last year, itemizing could save them some money.

A seventh straight day of gains marks the S&P 500's longest run since 2013.