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Bruce Kelly

Senior Columnist

Bruce Kellyhttp://www.investmentnews.com/apps/pbcsi.dll/persbilde?Avis=CI&ID=BKELLY&maxw=220&cci_ts=20170221181940

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

Nicholas Schorsch

Shareholders approve merger of two Schorsch REITs

Feb 16, 2017

Analyst calls it a "massacre" for some investors


Finra slaps LPL with $900,000 fine for record-keeping snafu

Feb 15, 2017

Firm failed to send, or create records that it had sent to customers more than 1.6 million required account notices during the previous 36-month period.

Changing direction, FS Investments launching a nontraded REIT

Feb 14, 2017

The company, formerly known as Franklin Square, filed a registration with the SEC Monday for a $2.5 billion commercial mortgage nontraded real estate investment trust


Former broker barred for bilking elderly client

Feb 13, 2017

Kelly Clayton Althar allegedly generated $91K in commissions from elderly client with $308K in assets

Former Wells Fargo Advisors rep barred by Finra for excessive trading in elderly client's account

Feb 10, 2017

The level of trading was unsuitable for the client given her age, risk tolerance and income needs, according to the regulator

LPL reports robust recruiting in 2016

Feb 9, 2017

The firm also addressed the recent departures of groups managing about $2 billion in brokerage assets — including star adviser Ron Carson — on its earnings call

Dan Arnold, LPL's new CEO, to be in the spotlight during earnings call

Feb 8, 2017

After a tough first month on the job, Mr. Arnold will need to be in "damage control mode" as he faces analysts and investors for the first time, according to an industry recruiter

Hamilton ticket investor sues BD over its due diligence in alleged $81 million Ponzi

Feb 7, 2017

Adam Blank on Monday filed the lawsuit in U.S. district court, southern district of New York against Tripoint Global Equities, related entities and executives. Mr. Blank, and associated trusts, made $1.5 million in investments into the alleged scheme.

Despite new review of DOL fiduciary rule, firms are sticking with higher standard of care

Feb 6, 2017

Firms have spent more than a year and millions of dollars preparing for the rule. Now, they have to wait and see what a final rule may look like.

Rogue brokers still pose danger to investors

Feb 6, 2017

Even with Finra's extra attention, countless numbers of rogue brokers are still employed in the securities industry

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