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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'

Author Keith Girard October 3, 2024 at 3:08 AM
1 Comment
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Dan Arnold success and reticent persona made his alleged breach of conduct all the more jarring.
Brooke Southall contributed to the editing of this article.

People Moves


Mike W

Mike W

October 4, 2024 — 11:23 PM
LPL is in BIG Trouble. This is how they do business. Look up “Marinelli” in FINRA arbitrations.

Related Moves

October 1, 2024 at 8:42 PM

Christa Carone, an ex-Fidelity and Xerox marketing whiz, steps onto a slippery slope at LPL with a daunting task -- to consolidate a NASCAR size brand portfolio... or not?

With no CMO since August, the chief marketing officer will play catch up for a company still hungry to buy more branded B2B and B2C players.

April 2, 2024 at 1:28 AM

LPL makes 'Sixth Sigma black belt' ex-wirehouse counsel its chief legal officer, right after purchasing another full service broker. LPL says there is 'no connection,' and she was poached from Google

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July 28, 2023 at 3:11 AM

Rich Steinmeier power poaches Jeremy Holly, who returns to LPL as EVP to head Dan Arnold-directed 'liquidity' project to buy -- but not hold -- LPL firms

Holly had bolted LPL for SageView with fanfare but he retained a fanbase back in San Diego which dreamed up a dream job for him

July 7, 2023 at 9:36 PM

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Mentioned in this article:

LPL Financial
RIA-Friendly Broker-Dealer, RIA Welcoming Breakaways, Advisory Firm
Top Executive: Dan Arnold



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