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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=20180817212151

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


Top private placement manager GPB Capital halts sales to review accounting

Aug 17, 2018

Leading seller of risky private placements will focus on accounting at two large funds


LPL recruiters jump to Ameriprise bank broker

Aug 17, 2018

Hiring the recruiters appears to be part of Ameriprise's continued push into the bank broker market


As Ameriprise case shows, firms on hook when brokers go bad ​

Aug 16, 2018

The SEC will collect $4.5 million from the brokerage firm for failing to supervise brokers who were ripping off clients

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Morgan Stanley's new comp plan could pinch pay for some brokers

Aug 15, 2018

The wirehouse will penalize advisers if they cannot sell enhanced services to clients with smaller accounts


SEC slaps Lockwood with $200,000 fine over unseen trading costs to clients

Aug 14, 2018

Clients were forced to pay fees in addition to the usual wrap charges, the regulator maintains


REIT management gives no answers about disastrous share price

Aug 9, 2018

Listing of American Finance Trust Inc., the $1.6 billion REIT advised and managed by Nicholas Schorsch's AR Global, has erased almost $1 billion in equity value


Unregistered advisers linked to latest alleged South Florida lending fraud

Aug 7, 2018

The SEC and U.S. Attorney's office are investigating an alleged $283 million loan fraud sold, at least in part, through a network of unregistered brokers and financial advisers


Private equity chasing healthy returns at RIAs and broker-dealers

Aug 2, 2018

Looking to double their money in five years, P-E investors are attracted to the wealth management industry


Whistleblower claims she was fired for raising red flags about broker-dealer's alternative investments

Aug 1, 2018

Ex-audit department employee says she brought concerns to Finra and then was let go days later


Waddell & Reed continues to shed brokers, though productivity rises

Jul 31, 2018

Adviser headcount was down 3.4% in second quarter, but productivity was up 35%

View all stories by Bruce »


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