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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=20161024082706

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

Finra suspends ex-LPL rep over unsuitable short-term trading of unit investment trusts

Oct 20, 2016

Mark Tauzin was suspended for eight months from any Finra-registered broker-dealer, fined $20,000 and required to pay $205,000 plus interest to 14 sets of clients

Massachusetts securities regulator Galvin hits two broker-dealers and brokers with complaints

Oct 20, 2016

It's part of an industry sweep that targeted firms with an above-average number of reps with current misconduct reports on their records

In the wake of the DOL fiduciary rule, will adviser M&A surge?

Oct 19, 2016

Two industry leaders — Pershing Advisor Solutions CEO Mark Tibergien and Echelon Partners CEO Dan Seivert — disagree on what impact the regulation will have on the financial advice market

SEC hits troubled Texas REIT with Wells notice

Oct 18, 2016

SEC makes preliminary determination for a possible enforcement action against UDF IV as Nasdaq moves to delist the REIT's shares

SEC bars ex-LPL broker over churning

Oct 18, 2016

Paul Lebel, an LPL broker from 2008 to 2014, defrauded four customers by churning several of their accounts, according to the SEC

Finra bars former broker for lifting $400,000 from parents' accounts

Oct 14, 2016

Accused of forging parents' names on withdrawal request forms, intercepting checks and then spending money without their permission

LPL hired Goldman after receiving an unsolicited acquisition offer

Oct 13, 2016

Investment bank called in to evaluate what LPL execs considered a low-ball bid

Advisers take flight from Morgan Stanley

Oct 12, 2016

Twenty-four teams leave in third quarter on top of 26 in second quarter

Morgan Stanley sales contests among advisers didn't help clients

Oct 11, 2016

The contests were run despite an internal Morgan Stanley prohibition on such initiatives

LPL Financial exploring potential sale: report

Oct 11, 2016

Company said to be exploring strategic alternatives, working with Goldman Sachs

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