The marketplace lender’s asset management division must pay over $4.2 million; its co-founder and former CEO is barred from the industry.

The company says Scott Posner, formerly of IBM, will use emerging technologies to improve the productivity of its internal recruiters.

The firm hasn’t made any acquisitions or taken outside capital, but it’s growing much faster than most.

The Colorado advisor entered a consent order with state regulators after putting client money into an unlicensed Blockchain investment fund.

The Financial Planning Department, an all-women team with $180 million in assets, is the second Cetera team to jump to LPL in as many weeks.

Greg Friedman’s well-known RIA has agreed to acquire Mosaic Financial Partners, founded by Norm Boone.

Employees from Northern Trust, Morgan Stanley and BMO Harris are joining Gary Hirschberg’s new Chicago firm, Aaron Wealth Advisors.

Biotech billionaire Phillip Frost steps down as chairman in the wake of recent SEC allegations. CEO Richard Lampen steps in.

The advisors in Wisconsin and North Carolina were managing an aggregate of $235 million.