Financial Services Group

• LPL, Wells’ FiNet Tap New Execs

  By Janet Levaux, AdvisorOne  |  June 27, 2012

  LPL FINANCIAL SAID IN EARLY JUNE THAT Dan Arnold, currently head of strategy for the largest independent broker-dealer, had been named chief financial officer of the company, the latest step in a management reorganization that has played out over the last few months.

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  Wells Fargo Names New FiNet Chief

  By Janet Levaux, AdvisorOne  |  June 5, 2012

  Wells Fargo Advisors said Tuesday that Kent Christian is the new president of FiNet, the firm’s independent channel.

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  New Hire Roundup: Hedge Fund Association Announces Officers; Carlyle Names Board

  By Marlene Y. Satter, AdvisorOne  |  March 21, 2012

  This week in new hires, Hedge Fund Association announced newly elected officers; Carlyle Group named new board members; Altegris welcomed Amy Bennett; Sanjay Puri joined Zephyr Associates.

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  Former SEC Exam Chief Walsh: SEC Whistleblower Program 'Showing Traction'

  By Melanie Waddell, AdvisorOne  |  January 2, 2012

  The former chief counsel at the SEC's exam division, John Walsh, has formed a Whistleblower Response Team with several of his colleagues to help firms develop whistleblower response programs as the SEC’s 'initiative is beginning to show traction.'

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  SEC's Top Compliance Officer Leaving for Private Sector

  By Melanie Waddell, AdvisorOne  |  September 16, 2011

  John Walsh, associate director and chief counsel in the SEC's Office of Compliance Inspections and Examinations (OCIE), plans to retire from the agency at the end of September.