Jon Henschen

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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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  LPL’s Latest Shot in Tech ‘Arms Race’: Naming Ex-IT Exec to Board

  By Janet Levaux, AdvisorOne  |  March 18, 2013

  Several experts are wowed by former Xerox CEO Anne Mulcahy’s new role at LPL.

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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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  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.

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  The Hartford Breakup: What It Means for Woodbury Reps

  By John Sullivan, AdvisorOne  |  March 22, 2012

  “It’s part of a trend of large insurance companies parting ways with their broker-dealers,” a research director with FA Insight said.

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  Broker-Dealer Pacific West to Close Its Doors

  By John Sullivan, AdvisorOne  |  December 6, 2011

  In a further sign of economic and legal trouble for the independent broker-dealer space, Pacific West Financial Group, based in Renton, Wash., announced it was discontinuing operations.

• Ladenburg Thalmann to Buy Securities America

  By Janet Levaux, AdvisorOne  |  September 29, 2011

  Ladenburg Thalmann said that it planned to pay Ameriprise Financial $150 million in cash for Securities America in late August. In addition, the Miami-based broker-dealer says it will pay up to $70 million in 2012 and 2013 in so-called earn-outs, as the firm explained in an SEC report. Plus, Ameriprise...

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  Private Equity Firm Buys Indy BD First Allied

  By Joyce Hanson, AdvisorOne  |  August 23, 2011

  Independent broker-dealer First Allied announced that it has joined in an acquisition deal with private equity firm Lovell Minnick Partners, allowing the BD and Lovell to buy First Allied from parent Advanced Equities.