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Bruce Kelly

Senior Columnist, Independent Broker-Dealers and Wirehouses

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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

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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

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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

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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

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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

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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

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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

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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

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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

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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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