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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INDEPENDENT BROKER DEALERS NOV 14, 2016
Robert Moore jumps ship at LPL

One-time heir apparent to Mark Casady to lead asset manager Legal & General Investment Management America, an institutional money manager.

INDEPENDENT BROKER DEALERS NOV 14, 2016
Bruton makes first acquisition as CEO of Lucia Capital Group

Derek Bruton didn't waste any time putting his imprint on Lucia Capital Group, striking a deal for the managed equity and fixed-income accounts of West Coast Asset Management, a registered investment advisory firm with $170 million in assets.

Ex-Newbridge Securities broker pleads guilty to securities fraud
INDEPENDENT BROKER DEALERS NOV 10, 2016
Ex-Newbridge Securities broker pleads guilty to securities fraud

Gerald Cocuzzo faces up to 20 years in connection with the $131 million market manipulation scheme of ForceField Energy Inc.

In the wake of the DOL fiduciary rule, will adviser M&A surge?
REGULATION, LEGAL & COMPLIANCE NOV 07, 2016
In the wake of the DOL fiduciary rule, will adviser M&A surge?

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.

LIFE INSURANCE AND ANNUITIES NOV 04, 2016
Federal court rejects NAFA attempt to kill DOL fiduciary rule

In the first legal challenge to be decided, judge upholds Department of Labor regulation. <b><i>(More: <a href="//www.investmentnews.com/section/fiduciary-focus&quot;" target="&quot;_blank&quot;" rel="noopener noreferrer">The DOL rule, from all angles.</a>)</i></b>

Signator, John Hancock's IBD, taps new CEO
INDEPENDENT BROKER DEALERS NOV 02, 2016
Signator, John Hancock's IBD, taps new CEO

Stifel will retain commissions in retirement accounts under DOL rule
INDEPENDENT BROKER DEALERS NOV 02, 2016
Stifel will retain commissions in retirement accounts under DOL rule

CEO says decision preserves choice while recognizing new fiduciary requirements. <b><i>(More: <a href="//www.investmentnews.com/article/20161030/FREE/161029902/broker-dealers-split-on-commissions-in-wake-of-dol-fiduciary-rule&quot;" target="&quot;_blank&quot;" rel="noopener noreferrer">B-Ds split on commissions in wake of DOL rule</a>)</i></b>

Finra bars broker whose client ran Ponzi scheme
REGULATION, LEGAL & COMPLIANCE NOV 01, 2016
Finra bars broker whose client ran Ponzi scheme

INDEPENDENT BROKER DEALERS NOV 01, 2016
Seven-year MedCap Capital Holdings Ponzi case is over

With bankruptcy case concluded, investors stand to recover $400 million.

Advisers take flight from Morgan Stanley
PRACTICE MANAGEMENT OCT 31, 2016
Advisers take flight from Morgan Stanley

Twenty-four teams left in third quarter on top of 26 in second quarter. <b><i>(More: <a href=&quot;http://data.investmentnews.com/aotm&quot; target=&quot;_blank&quot;>See all the latest moves in InvestmentNews' Advisers on the Move database</a>)</i></b>

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