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
PRACTICE MANAGEMENT SEP 14, 2017
SEC warns RIAs about exaggerating investment performance and other misleading advertising practices

The regulator's Office of Compliance Inspections and Examinations issued a risk alert Thursday about potential violations of advertising rules.

RIA NEWS SEP 14, 2017
Cathay Bank's $507 million retail brokerage business returning to Cetera

Bank had left Cetera when its parent company, RCS Capital, filed for bankruptcy.

RIA NEWS SEP 13, 2017
Advisor Group broker-dealer gets new CEO

Derek Burke replacing Jerry Murphy as president of firm.

RIA NEWS SEP 13, 2017
Finra bars recently fired UBS Miami broker

Lorenzo C. Esteva was fired earlier this summer for giving clients documents with false account information.

EQUITIES SEP 13, 2017
It's been a good year for publicly traded brokerage firms — but not all

Shares of LPL, Raymond James and Ameriprise are among those outperforming their benchmark, while Oppenheimer Holdings is down by double digits.

REGULATION, LEGAL & COMPLIANCE SEP 12, 2017
Jailed broker Mark David Holt loses $477,000 Finra arbitration

The case is the latest setback for Mr. Holt, a former attorney who has been disbarred, thrown out of the securities industry and is currently serving a 10-year prison term.

PRACTICE MANAGEMENT SEP 11, 2017
Florida-based broker-dealers flee Irma, setting up operations out-of-state

Raymond James activates back-up offices in Memphis, Detroit and Denver, while Kovack Securities charters jet to fly staff to New Orleans.

RIA NEWS SEP 08, 2017
With TD Ameritrade about to acquire Scottrade, Tom Bradley is out

Company felt it needed a top manager from Scottrade in merged company.

PRACTICE MANAGEMENT SEP 07, 2017
Dawn Bennett's alleged Ponzi a sign of dark times

Is Ms. Bennett's alleged scheme a harbinger of other such frauds?

LIFE INSURANCE AND ANNUITIES SEP 05, 2017
MetLife cutting annuity pay to some of its former advisers

Advisers who moved to other broker-dealers after MetLife sold to Massachusetts Mutual are seeing trailing commissions cut on VA and fixed annuity contracts.

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