Keith Girard
Articles written by Keith Girard
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Dan Arnold is gone as LPL CEO, but his leverage to negotiate a settlement is apparent as LPL tells SEC it is deferring exercise of 'automatic forfeiture' of some vested options
Analysts stunned, seeking further clarity from LPL on future leadership, are reassured by company that 'no further shoe will drop'
October 3, 2024 at 3:08 AM
Infamous stockbroker resolves civil suit stemming from violent tirade -- the apparent final chapter in an incident that went viral and forever branded him the 'Fairfield Smoothie Guy'
Broker Jim Iannazzo went all out with high-powered attorneys and slick Las Vegas crisis pr team to limit the damage from his actions, but whether he can ever live down the incident remains to be seen.
September 1, 2022 at 5:11 AM
Envestnet, caught in speculative web over possible Yodlee spinoff--or sale of company, itself--has Wall Street scrambling to buy on the rumor
'Large private-equity firms, in particular, are said to be interested,' Barron's reports, but who's driving the conversation--the company, news media or speculators?
February 3, 2020 at 8:26 PM
The odd case of Envestnet/Yodlee getting singled out as data scofflaw, just four days after Visa deal to buy rival Plaid and nine months after Raj Udeshi's 'Theranos' outcry
Three Capitol Hill Democrats urged the Federal Trade Commission to probe the small firm -- and nobody else -- with little explanation of where its practices allegedly diverge from the norm
January 27, 2020 at 7:29 PM
Crain poaches Fred Gabriel, who anchored InvestmentNews' editorial while they owned it, making it a clean sweep for new owners Bonhill Financial
Seeking Alpha Editor George Moriarty will step into editor's shoes; Gabriel will stay through November, before becoming publisher and executive editor at Crain's New York
November 1, 2019 at 2:39 AM
Focus Financial files a shelf registration as debt swells above critical '4X' level then its shares dropped to new low in after-hours
Focus CEO all but ruled out a secondary offering on Aug. 8 in response to a Goldman Sachs analyst who asked about leverage, then asked, again.
September 2, 2019 at 4:46 PM
Tim Hockey leaves baffled analysts (and everyone else) probing for answers to explain abrupt departure plan as TD Ameritrade CEO; It's about... nothing!
Discount brokers are facing myriad issues as trading fees continue sliding to zero, causing TD's board to seek a more RIA friendly CEO
August 8, 2019 at 6:32 PM
Schwab connected lawyer’s InvestmentNews column erupts like a sudden spring storm, roiling advisors, after firing a warning shot at RIAs without revealing connections
Lawyer Robyn Crowther of white shoe LA law firm Steptoe penned article; both Schwab and InvestmentNews disavowed knowledge of its origin or author conflicts
April 13, 2019 at 3:27 AM
Bill Bisson, the original 'RIA' publisher, set a standard of financial journalism that put integrity first and stood fast against 'Wall Street' culture and intimidation
The InvestmentNews founder risked his blemish-free reputation at flagship Pensions & Investments on a maverick publication, then stared down advertisers during the ravages of dot.com bust
February 4, 2019 at 10:50 PM
Abby Johnson finally breaks through the glass ceiling at Fidelity Investments and now she's busy taking big-time -- if calculated -- risks worthy of her father's legacy
Like father, like daughter? Fidelity CEO Abby Johnson shows all the signs that she's determined to leave her mark on the family's $7.2 trillion financial dynasty
November 14, 2018 at 10:06 PM
Rockefeller Capital hires Chris Dupuy from Focus Finacial
But can Dupuy help his new boss shake up Rockefeller Capital Management's brand and convince 21st century tech magnates and next-generation middling millionaires to rub shoulders with a Rockefeller brand still best associated with a 19th century robber baron?
September 14, 2018 at 9:12 AM
Greg Fleming dips into RIA gene pool with expected hire of Chris Dupuy to fish for elite wirehouse advisers in drive to reach $100 billion in UHNW assets
But can the CEO of Rockefeller Capital Management, a brand associated with a 19th century robber baron, convince 21st century tech magnates and next-gen middling millionaires to rub shoulders with Rockefellers... and Derek Jeter?
August 28, 2018 at 1:53 AM
Ex-Merrill exec Chris Dupuy makes exit from Focus Financial barely a month after IPO, leaves financial services after 34-year career; you won't believe what he's doing now
Dupuy was charged with expanding Focus Connections, a program designed to help elite wealth management teams transition from wirehouses to independence
August 25, 2018 at 10:06 PM
Posse of top cops from 17 states dresses down SEC, demand same fiduciary standards for broker-dealers and RIAs and cite other 'egregious' deficiencies in proposed son of DOL rule
Since the 5th Circuit Court of Appeals in March struck down the Department of Labor's (DOL) embattled "fiduciary rule," broker-dealers have been operating with a virtual "get-out-of-jail-free" card
August 10, 2018 at 8:18 PM
How InvestmentNews may become nucleus of U.S.-based roll-up if UK investment banker succeeds with 'wild swim' across Atlantic to purchase it
If Vitesse pulls off 'reverse merger,' it can use the cash-cow revenues of the Manhattan-based Crain weekly to fuel string of 'bolt-on acquisitions' in United States
