Southern California

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  5 Strategies for Today’s Fixed-Income Market

  By Janet Levaux, AdvisorOne  |  May 3, 2013

  There are several steps investors and their advisors may want to consider to counter the possible impact of rising interest rates, Nate Carlon of Burnham Gibson says.

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  A Battle Won Over Independent Contractor Status, but War Persists

  By Dale Brown, Financial Services Institute  |  February 19, 2013

  In the continuing struggle to retain independent contractor status for IBD advisors on both the state and federal level, broker-dealers have a key ally in FSI. The Waddell & Reed lawsuit is a case in point.

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  Barclays, Morgan Stanley, Raymond James Grab Reps From Rivals

  By Janet Levaux, AdvisorOne  |  February 15, 2013

  The movement involves advisors with more than $15.6 billion in client assets under management and $36 million in yearly fees & commissions.

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  SEC Names Hoecker Inspector General

  By Melanie Waddell, AdvisorOne  |  January 29, 2013

  The SEC announced Tuesday that it has named Carl W. Hoecker as its Inspector General. Hoecker currently serves as inspector general for the U.S. Capitol Police and will replace David Kotz, who left the SEC last year.

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  Spire Investment Partners Adds Chamberlain Group in West Coast Expansion

  By Joyce Hanson, AdvisorOne  |  January 24, 2013

  RIA Spire Investment Partners, headquartered in McLean, Va., has expanded to the West Coast with the addition of the Chamberlain Group of Irvine, Calif.

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  A Broker Who Broke Bad

  By Jane Wollman Rusoff  |  January 23, 2013

  Serving nearly 400 days in federal prison wasn’t what Justin M. Paperny had in mind when he became a stockbroker fresh out of the University of Southern California, psychology degree in hand.

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  Wirehouses, IBDs Post Final Recruiting Wins, Losses of 2012

  By Janet Levaux, AdvisorOne  |  December 20, 2012

  Morgan Stanley, Merrill Lynch and other firms saw a number of advisors come and go at year end.

• Independent Advisors Giving Back

  By Janet Levaux, AdvisorOne  |  December 20, 2012

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  CFP Board Names Aikin, 2 Others to Board of Directors

  By Melanie Waddell, AdvisorOne  |  November 15, 2012

  The CFP Board announced Thursday that it had elected three new directors to the Board of Directors at its Fall 2012 meeting: Blaine F. Aikin, Arthur Laby and Thomas Nelson.

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  LPL Nabs $1 Billion Group of 50 Reps

  By Janet Levaux, AdvisorOne  |  November 13, 2012

  Level Four Group, which includes both advisors and CPAs, was formerly affiliated with Lincoln Financial.