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.
Feb 16, 2017
Analyst calls it a "massacre" for some investors
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.
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
Feb 13, 2017
Kelly Clayton Althar allegedly generated $91K in commissions from elderly client with $308K in assets
Feb 10, 2017
The level of trading was unsuitable for the client given her age, risk tolerance and income needs, according to the regulator
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
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
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.
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.
Feb 6, 2017
Even with Finra's extra attention, countless numbers of rogue brokers are still employed in the securities industry