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Bruce Kelly

Senior Columnist, Independent Broker-Dealers and Wirehouses

Bruce Kellyhttp://www.investmentnews.com/apps/pbcsi.dll/persbilde?Avis=CI&ID=BKELLY&maxw=220&cci_ts=20180924062911

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


LPL video about private equity looks like a swipe at Cetera

Sep 21, 2018

Recruiting video warns about potential consequences for advisers when a PE firm buys a broker-dealer


Ladenburg chairman Phillip Frost steps down

Sep 21, 2018

SEC charged Frost with fraud earlier this month


Chairman should leave Ladenburg Thalmann

Sep 20, 2018

The risk to Ladenburg Thalmann's reputation is too great for Dr. Phillip Frost to continue his association with the brokerage


Another veteran recruiter walks away from LPL

Sep 18, 2018

David Symecko, a 16-year veteran, joins a growing list of recruiters who have left the broker-dealer


No changes to compensation plan for UBS advisers in 2019

Sep 12, 2018

Wirehouse continues to back away from linking non-solicitation agreements to adviser bonuses


Ladenburg chairman charged with fraud by SEC in penny stock scheme

Sep 10, 2018

Dr. Phillip Frost was among 10 individuals named in a lawsuit for participating in long-running schemes that generated over $27 million from unlawful stock sales and left investors holding virtually worthless stock, the SEC claims


Galvin orders SII to pay restitution on nontraded REIT sales

Sep 7, 2018

LPL bought SII last year as part of its National Planning Holdings purchase


William Galvin wins again in Massachusetts

Sep 6, 2018

In a primary race that turned ugly in the final weeks, the state's secretary of the commonwealth handily defeated his challenger


Turns out commissions are OK at Commonwealth Financial, JPMorgan, Merrill Lynch

Sep 6, 2018

Commonwealth and JPMorgan reevaluate use of commissions in retirement accounts


Ex-Wells Fargo broker suspended for coaching client to lie about excessive commissions

Sep 6, 2018

Broker accepts eight-month suspension and $10,000 fine after he prepared a 'script' with false information for 72-year-old woman

View all stories by Bruce »


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