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Bruce Kelly

Senior Columnist, Independent Broker-Dealers and Wirehouses

Bruce Kellyhttps://www.investmentnews.com/apps/pbcsi.dll/persbilde?Avis=CI&ID=BKELLY&maxw=220&cci_ts=20190920171601

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


Michigan RIA to pay $2.5 million for mutual fund conflicts

Sep 20, 2019

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


After trading loss, employees at Atlanta B-D are looking for work elsewhere

Sep 20, 2019

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


Morgan Stanley fined $225,000 over questionable muni bond trades

Sep 19, 2019

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


Robert Moore is back. And he's focused on REITs

Sep 18, 2019

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

Sep 17, 2019

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


Once again, GPB delays release of audited financial statements

Sep 12, 2019

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


LPL fired Mark Lamkin. Now he's fighting back

Sep 10, 2019

Kentucky adviser is confident he will overcome the conflicts he's facing in life after LPL


Nicholas Schorsch's former flagship REIT settles with investors for $1 billion

Sep 9, 2019

Mr. Schorsch's firm, American Realty Capital, will kick in $225 million as part of the settlement


Edward Jones wants TRO against broker in Indiana who jumped ship last month

Sep 9, 2019

With $113 million in client assets, John Kerr bolted from Jones to Thurston Financial


Advisor Group new bonus program falls short for some advisers

Sep 6, 2019

Some of the broker-dealer networks 7,000 advisers are underwhelmed by offer

View all stories by Bruce »


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