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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=20161207210729

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

Bank of America wants more referrals from its Merrill Lynch advisers

Dec 7, 2016

Brokers will be expected to provide two referrals a year to the bank or face a 1% penalty on their payout

Wells Fargo fined $1 million by Finra over client reports

Dec 6, 2016

Firm failed to enforce supervisory systems for the use of consolidated reports generated by their reps, regulator claimed

LPL's Casady retiring; Arnold to be new CEO

Dec 5, 2016

In a surprise move, Mark Casady stepping down as head of nation's largest independent broker-dealer

Smooth transition expected at LPL Financial under new CEO Dan Arnold

Dec 5, 2016

One analyst says company likely not for sale at this time after all

UBS loses $18 million arbitration award over Puerto Rico closed-end bond funds

Dec 5, 2016

Largest award to date as investors seek to recoup funds lost investing in public projects on the Caribbean island

Finra fines Morgan Stanley $1.5M for failing to deliver fund prospectuses online

Dec 2, 2016

During one nine-month period, the firm failed to deliver close to 2.1 million prospectuses to online customers because of a missing link

LPL sued by Galvin over top producer's alleged variable annuity abuses

Dec 1, 2016

Massachusetts' William Galvin charged the nation's largest independent broker-dealer with failing to supervise a top-producing broker who allegedly committed fraud in selling unsuitable VAs

Tom James to step down as chairman of Raymond James early next year

Dec 1, 2016

Mr. James has long been involved in leadership roles at the broker-dealer his father founded in 1962

Wells Fargo financial adviser with $350 million in assets skips to Raymond James

Nov 30, 2016

The Denver area practice will operate as First Avenue Wealth Partners

Merrill Lynch to pay $7.03 million in Finra case for inadequacies in leveraging customer brokerage accounts

Nov 30, 2016

Settlement includes $780,000 in restitution to 22 clients who borrowed against their accounts to invest in Puerto Rico securities

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