Bruce Kelly

InvestmentNews

Bruce Kelly

Senior Columnist

26 years experience

Bruce's specialty topics

Legal and compliance Advisor compensation Alternative investments

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.

How I think about writing for this industry…

“I love covering the financial advice business. We write about financial advisors and how they care about clients' lifesavings - what is more important than that?”

Awards and recognition

  • 2 SABEW awards
  • Neal Award

Also published by

Co-author of "Financial Serial Killers"

Featured content from Bruce

It’s the age of risk, and the financial advice industry is blowing it Beneficient, GWG boss spent $59 million on home improvements during time of alleged fraud scheme Broker-dealers got more than $100 million from selling bankrupt Inspired Healthcare’s deals

Education

  • B.A., Rutgers College
  • M.S., Columbia Journalism School

Read the latest stories by Bruce

Bruce Kelly
Displaying 3542 results
Voya Financial Advisors settles with more than a dozen clients of former broker
RIA NEWS SEP 27, 2019
Voya Financial Advisors settles with more than a dozen clients of former broker

So far, the firm has paid more than $900,000 on complaints about the REITs and variable annuities the broker used in clients' portfolios.

RIA NEWS SEP 26, 2019
Finra bars IFS Securities executive linked to reported $10 million trading loss

Keith Wakefield did not testify in Finra investigation of 'trading improprieties' at IFS.

RIA NEWS SEP 26, 2019
Raymond James doubles down on digital with advisers in control

As digital advice evolves, Raymond James stays focused on advisers.

Phony adviser with $172 million in client assets had lots of baggage
REGULATION, LEGAL & COMPLIANCE SEP 24, 2019
Phony adviser with $172 million in client assets had lots of baggage

Airline baggage handler leaned on Facebook to promote his advisory practice, 'Bored at Work.'

After trading loss, employees at Atlanta B-D are looking for work elsewhere
REGULATION, LEGAL & COMPLIANCE SEP 20, 2019
After trading loss, employees at Atlanta B-D are looking for work elsewhere

IFS Securities reps are talking to other firms while some managers relocate.

Michigan RIA to pay $2.5 million for mutual fund conflicts
INDEPENDENT BROKER DEALERS SEP 20, 2019
Michigan RIA to pay $2.5 million for mutual fund conflicts

Sigma Planning failed to disclose conflicts related to 12b-1 fees: SEC.

Morgan Stanley fined $225,000 over questionable muni bond trades
WIREHOUSES SEP 19, 2019
Morgan Stanley fined $225,000 over questionable muni bond trades

SEC: Firm was swapping bonds for clients with no alleged benefit to the customer.

Robert Moore is back. And he's focused on REITs
ALTERNATIVES SEP 18, 2019
Robert Moore is back. And he's focused on REITs

Cetera's former CEO launches new fund but he won't be working full-time.

Raymond James to pay $15 million over improper charges to clients
REGULATION, LEGAL & COMPLIANCE SEP 17, 2019
Raymond James to pay $15 million over improper charges to clients

Firm charged advisory fees on inactive accounts and excess commissions for UITs.

Once again, GPB delays release of audited financial statements
ALTERNATIVES SEP 12, 2019
Once again, GPB delays release of audited financial statements

After raising $1.8 billion, GPB fails to deliver information to investors.

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