Ancora Holdings, the parent of four firms, is based in Cleveland.
The executive is joining the online brokerage firm after heading Ally Invest.
The agency is considering more stringent disclosure requirements for investment funds amid concerns that some fund managers are making unfounded ESG claims.
A husband-and-wife team runs Novak Financial Planning in Bel Air, Maryland.
Rainier Financial Group is the firm's first acquisition in the Pacific Northwest.
The six-adviser team at TBT Financial Services is based in Tyler and Longview, Texas
Brenner Wealth Management Group is based in Santa Barbara, California.
Luma Financial Technologies' new tool, Luma Compare, lets advisers compare a variety of products.
The SEC says Dean Tellone and his California firm hid information from mortgage investors.
Allison Taylor leads the all-female group in Huntington Beach, California.
