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Articles written by Keith Girard


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Jim Iannazzo pictured in a police mug shot, has closed the book on criminal and civil charges.

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 – 5:11 AM

Bill Crager has another issue on his plate, the possible sale of Envestnet or Yodlee.

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 – 8:26 PM

Sen. Ron Wyden: 'The consumer data that Envestnet collects and sells is highly sensitive.'

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 – 7:29 PM

Fred Gabriel has a familiar job lined up.

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 – 2:39 AM

Rudy Adolf: We don't have current imminent plans to issue equity.

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 – 4:46 PM

Tim Hockey: 'As we all know, the environment that's facing our entire industry has gotten a little more interesting.'

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 – 6:32 PM

Robyn Crowther: I referred to Schwab and other firms to illustrate some of my points because I am familiar with their policies.

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 – 3:27 AM

Bill Bisson originated the idea of hard and hard-hitting news for financial advisors as a way to earn hard profits in founding InvestmentNews -- a radical notion at the time in the late 1990s.

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 – 10:50 PM

Abby Johnson looks awfully smart after free index funds take off

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 – 10:06 PM

Chris Dupuy: Ex-Focus Financial Exec heading for Rockefeller Capital.

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 – 9:12 AM

Greg Fleming is building out his management team to go after top advisors

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 – 1:53 AM

Chris Dupuy: Leaving financial services after 34 years to write about sports

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 – 10:06 PM

New York Attorney General Barbara D. Underwood leading coalition

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 – 8:18 PM

Simon Stilwell: InvestmentNews has received relatively little investment over the last few years. There is, therefore, the potential to deploy capital to accelerate growth organically of revenues streams and margins,

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

August 6, 2018 – 5:32 AM

Bill Willis: The code of conduct at Morgan Stanley is embedded in compliance manual. I’m sure it could find a page, a paragraph, a sentence that would justify his termination.

Morgan Stanley mega-producer's fate in Oregon may become #MeToo movement litmus test on Wall Street after New York Times report

The charges against Douglas Greenberg of egregious and unlawful behavior aren't compliance- or even MS-employee related, making them 'gray area' infractions, says a source

April 2, 2018 – 6:30 PM

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