Arizona

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  New Hire Roundup: Commonwealth’s Tedesco Honored

  By Marlene Y. Satter, AdvisorOne  |  December 12, 2012

  This week in new hires,Commonwealth Financial tech guru Darren Tedesco was named to the 2013 Premier 100 IT Leaders list; Todd Scharf was named CTO by the SEC; and more.

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  RJ Grabs $800K Ex-Morgan Stanley FA in West Virginia

  By Janet Levaux, AdvisorOne  |  November 28, 2012

  The advisor has been in the business since 1978 and has about $215 million in client assets

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  Recruiting Roundup: Wells Adds 31 FAs With $3.5 Billion

  By Janet Levaux, AdvisorOne  |  November 16, 2012

  LPL, Raymond James and Securities America also grab reps from rivals.

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  SEC, FINRA Enforcement Roundup: Schwab's BrokersXpress Hit With Another Fine

  By Marlene Y. Satter, AdvisorOne  |  October 11, 2012

  FINRA and the SEC recently took action against a number of firms for everything from fraud to supervisory failure that in some cases cost the firms dearly.

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  New Hire Roundup: U.S. Bank Names Jeppson CIO of Private Client Group

  By Marlene Y. Satter, AdvisorOne  |  October 3, 2012

  This week in new hires, Mary Martuscelli joined The Private Client Reserve as west region president, and Moss Adams announced a transition in leadership.

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  SEC, FINRA Enforcement Roundup: Merrill Slapped With $500,000 Fine

  By Marlene Y. Satter, AdvisorOne  |  September 27, 2012

  Recent FINRA actions include a $500,000 fine against Merrill Lynch for failing to file required reports, and a joint action with the SEC and the exchanges against Hold Brothers.

• America’s Edge

  By Alexei Bayer  |  September 25, 2012

  If the 2012 election campaign has plunged you into depression and convinced you that this country is going down the drain, an antidote could be a tour of a college or university campus.

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  Young Advisor Reveals ‘Huge Opportunity’ to Grab Profitable Books of Business

  By Gil Weinreich, AdvisorOne  |  September 5, 2012

  "Fewer people are entering the business while more people are exiting due to age and retirement," says John Arnold of AXA Advisors, explaining his strategy.

• ProShares Unveils Financial ETFs

  By Ron DeLegge, ETFguide.com  |  August 23, 2012

  ProShares recently unveiled two industry sector ETFs that offer 300% daily leverage and inverse exposure to financial stocks.

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  Harris, M&I Banks Merge Broker-Dealers

  By Janet Levaux, AdvisorOne  |  August 3, 2012

  The BMO Financial Group now has 165 financial advisors in nine states, BMO Harris Financial Advisors President Mike Miroballi told AdvisorOne.