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Bruce Kelly

Senior Columnist

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Bruce Kellyhttp://www.investmentnews.com/apps/pbcsi.dll/persbilde?Avis=CI&ID=BKELLY&maxw=220&cci_ts=20170326203914

A former middle school and high school English teacher, Bruce Kelly started at InvestmentNews in 2000 as the brokerage reporter after a two-year stint at sister publication Pensions & Investments. He writes a bi-weekly, award winning column, On Advice, and covers the independent broker-dealer industry.

Recent Articles

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Resolving Nick Schorsch's legal problems taking a long time

Mar 24, 2017

Criminal trial for an associate is slated to start in June, but little has been resolved on civil side

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SEC moving to bar former broker from Financial Network Investment Corp.

Mar 23, 2017

William Bucci, who has already been barred by Finra, pled guilty to charges of securities fraud last June

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Dawn Bennett loses $1 million arbitration claim

Mar 22, 2017

Client claims she recommended he invest in a gold ETF, which the arbitrators agreed was an unsuitable investment for him

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Texas judge shoots down latest effort to halt DOL fiduciary rule

Mar 21, 2017

Chief Judge Barbara M.G. Lynn denied the financial trade association plaintiffs' motion for an injunction to stop the regulation

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Finra bars owner of New Jersey broker-dealer

Mar 20, 2017

James Carrazza of Olympus Securities failed to report federal tax liens on his employment record and would not provide the regulator with requested information, according to Finra

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LPL spent big on recruiting in 2016

Mar 17, 2017

Broker-dealer's forgivable loan balance was $136.7 million last year, up 44.7% over the previous year

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Fired Waddell & Reed broker barred by Finra

Mar 15, 2017

Paul D. Stanley was dismissed for violating the firm's professional conduct, supervisory and compensation policies

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Broker-dealer Aegis Capital facing investigation from Finra, SEC and FINCEN

Mar 15, 2017

An SEC filing did not say why the firm is being investigated and a lawyer for the firm declined to comment

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National Holdings Corp. acquires independent broker-dealer WFG Investments

Mar 14, 2017

The transaction comes as industry executives and consultants expect more consolidation in the IBD industry

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Asking the SEC's Michael Piwowar to reconsider who will end up the real 'forgotten investors'

Mar 10, 2017

His proposal to allow more Americans to invest in private placements is fraught with risk, mostly to retirees who fall prey to brokers motivated to sell these deals by high commissions

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