Richard Ketchum

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  FSI’s FA Membership Growth Strategy Appears to Be Working

  By James J. Green, AdvisorOne  |  January 29, 2013

  Subsidizing individual FA membership gets advisors in the door, and advocacy success keeps them, says FSI leadership.

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  Obama Names SEC’s Walter as Schapiro’s Replacement

  By Melanie Waddell, AdvisorOne  |  November 26, 2012

  While Elisse Walter, an SEC commissioner, was selected by President Obama to succeed Schapiro, industry officials speculated that Walter will serve as an acting chairman until the president selects a permanent chairman at a later date.

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  SEC’s Schapiro to Step Down in December

  By Melanie Waddell, AdvisorOne  |  November 26, 2012

  After months of speculation that she would depart, Schapiro made it official Monday morning that she would depart the agency on Dec. 14; with a frontrunner emerging from Treasury Department.

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  Treasury’s Miller Surfaces as Possible Replacement for SEC’s Schapiro

  By Melanie Waddell, AdvisorOne  |  November 21, 2012

  Rumors are circulating that Treasury Department Under Secretary Mary John Miller, former T. Rowe Price executive, is the top candidate to replace Schapiro.

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  FINRA Enforcement Roundup: Hudson Valley CEO Barred Over Sneaky Day Trading, Fraud

  By Marlene Y. Satter, AdvisorOne  |  November 9, 2012

  Mark Gillis, the CEO of New York-based Hudson Valley Capital Management, was barred and his company expelled from the securities industry for defrauding its clearing firm and customers.

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  FINRA Seeks to Require Members to Link to BrokerCheck

  By Melanie Waddell, AdvisorOne  |  September 21, 2012

  FINRA is asking the SEC to approve amendments to BrokerCheck, including requiring firms to include a reference and a link to BrokerCheck on their websites.

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  FINRA Regulatory Head Luparello Leaving to Join D.C. Law Firm

  By Melanie Waddell, AdvisorOne  |  September 4, 2012

  FINRA announced Tuesday that Vice Chairman Stephen Luparello, who has been at FINRA and the NASD for more than 16 years, is leaving to join the WilmerHale law firm in Washington.

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  FSI Urges SEC: Don’t Let FINRA Raise Fees

  By James J. Green, AdvisorOne  |  July 23, 2012

  Dale Brown worries about “humongous” compliance costs; group concerned over “timing, context and size” of fee increases.

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  SEC Funding Boost ‘Not Going to Happen’: SRO Bill Co-Sponsor

  By Melanie Waddell, AdvisorOne  |  June 26, 2012

  Industry trade groups and consumer advocates opposed to House Financial Services Committee Chairman Spencer Bachus’ bill calling for a self-regulatory organization (SRO) to oversee advisors had their hopes quashed that the Securities and Exchange Commission (SEC) would receive a boost in funding in order to thwart an SRO.

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  SEC Funding Boost ‘Not Going to Happen’: SRO Bill Co-Sponsor

  By Melanie Waddell, AdvisorOne  |  June 6, 2012

  Opponents of Rep. Spencer Bachus’ bill calling for a SRO to oversee advisors had their hopes that the SEC would receive a boost in funding in order to thwart an SRO quashed on Wednesday.