Bruce Kelly

Bruce is Senior Columnist for InvestmentNews, a leading publication for financial advisors and the wealth management industry.

An award-winning journalist, Bruce’s career at InvestmentNews began in 2000, two years after the launch of the newspaper. He has covered the brokerage industry ever since, focusing on financial advisors’ pay, the products they sell, and the firms on and off Wall Street where they work.

His reporting in the financial crisis 2008 and thereafter shed light on the many shortcomings of the financial advice industry, from weak regulation to the collapse of many broker-dealers.

Bruce writes an award-winning column, On Advice, and his daily breaking news reports give clarity and insight into what’s happening behind closed doors at the largest brokerage firms in the country.

Before becoming a journalist, Bruce taught middle school and high school English in Manhattan and Caracas, Venezuela, for a decade. He is the co-author of a 2010 book, “Financial Serial Killers,” and has two children.

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Bruce Kelly
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REGULATION, LEGAL & COMPLIANCE OCT 15, 2019
SEC takes aim at second Cetera broker-dealer

Commission adds Cetera Advisor Networks to an earlier lawsuit alleging overcharging of funds.

Finra bars ex-Wells Fargo Advisors rep who did not cooperate with investigation
RIA NEWS OCT 14, 2019
Finra bars ex-Wells Fargo Advisors rep who did not cooperate with investigation

The broker, Stephen Klinger, had been fired earlier this year by Wells Fargo.

Texas pulls license of adviser who sold Future Income Payments
RIA NEWS OCT 14, 2019
Texas pulls license of adviser who sold Future Income Payments

George Marwieh fraudulently sold $5 million of securities, says Texas regulator.

RIA NEWS OCT 14, 2019
Finra bars ex-Wells Fargo Advisors rep who did not cooperate with investigation

The broker, Stephen Klinger, had been fired earlier this year by Wells Fargo.

REGULATION, LEGAL & COMPLIANCE OCT 14, 2019
Texas pulls license of adviser who sold Future Income Payments

George Marwieh fraudulently sold $5 million of securities, says Texas regulator

Ex-LPL broker ripped off clients using phony Taylor Swift charity: New Hampshire
RIA NEWS OCT 11, 2019
Ex-LPL broker ripped off clients using phony Taylor Swift charity: New Hampshire

New Hampshire slaps Dain Stokes with injunction, says he allegedly solicited $576,000 from clients for fake charity.

RIA NEWS OCT 11, 2019
Ex-LPL broker ripped off clients using phony Taylor Swift charity: New Hampshire

New Hampshire slaps Dain Stokes with injunction, says he allegedly solicited $576,000 from clients for fake charity.

Two small broker-dealers are down — and out
RIA NEWS OCT 10, 2019
Two small broker-dealers are down — and out

Taylor Capital Management and Triloma Securities to close

RIA NEWS OCT 10, 2019
Two small broker-dealers are down — and out

Taylor Capital Management and Triloma Securities to close

Captrust strikes again, buys $1.5 billion RIA
RIA NEWS OCT 09, 2019
Captrust strikes again, buys $1.5 billion RIA

Boston Advisors sells its financial advisory business to the big-time buyer of RIAs.

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