Henschen & Associates

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  First Allied’s Surprise Sale to Real-Estate Group Creates ‘Whole New Dynamic’ for BDs

  By Janet Levaux, AdvisorOne  |  June 12, 2013

  Flush with cash, more conglomerates that sell REITs could follow in Realty Capital’s footsteps—perhaps spawning conflicts of interest, Jonathan Henschen says.

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  FINRA’s New Public Arbitrator Rules Make Little Sense: Compliance Pros

  By Melanie Waddell, AdvisorOne  |  June 4, 2013

  Compliance professionals are questioning the merits of new FINRA rules that prevent people associated with mutual funds and hedge funds from serving as public arbitrators.

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  IBD First Allied Taps TDAI’s Whitworth as Strategist for Business Consulting

  By Joyce Hanson, AdvisorOne  |  April 24, 2013

  The IBD First Allied Securities has hired Richard Whitworth of TDAI's practice management unit to be managing director of its Business Consulting Group.

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  State Securities Regulators to Hike Exam Fees for Series 63, 65 and 66

  By Melanie Waddell, AdvisorOne  |  April 17, 2013

  Despite increased costs of maintaining the exams, NASAA says the exam fees have not increased for the past four years.

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  FINRA Seeks Second Round of Comments on Markups, Commissions Plan

  By Melanie Waddell, AdvisorOne  |  February 5, 2013

  After being deluged with comments against its plan to end a 5% threshold on commissions and markups, FINRA is giving broker-dealers yet another chance to weigh in.

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  FINRA Reaches for Feedback on Broker Comp Disclosure Rule

  By Melanie Waddell, AdvisorOne  |  December 10, 2012

  FINRA’s board announced Friday that it would seek comment on its controversial plan to require brokers to disclose their compensation packages to clients.

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  FINRA to Mull Broker Compensation Disclosure Rule

  By Melanie Waddell, AdvisorOne  |  November 29, 2012

  December Board meeting will consider several rule proposals and amendments, chief among them a proposal that would require broker-dealers to disclose compensation packages to customers.

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  Jon Henschen: The 2012 IA 25 Extended Profile

  By Danielle Andrus, AdvisorOne  |  May 7, 2012

  Jon Henschen, president of Henschen & Associates, a broker-dealer recruiting firm, likens the torrent of regulatory changes the industry has seen recently to “having a cut on your finger, and they’re cutting your arm off to repair it.”

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  The 2012 IA 25

  By Editorial Staff  |  April 24, 2012

  Some people ride a wave and some people, like the honorees of the 10th annual IA 25, create a wave.

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  Special Report: The 2012 IA 25

  By Editorial Staff  |  April 24, 2012

  Throughout the rest of April and May, we’ll be publishing extended versions of each profile, including exclusive interviews, on AdvisorOne.