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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=20181212005840

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


Ex-Securities America broker suspended for hidden options trades that hurt client

Dec 11, 2018

The broker recommended that a customer open an account away from Securities America


San Francisco advisers cheated low-income housing: city attorney

Dec 11, 2018

The married couple, Caroline Novak and Igor Lotsvin, run Sage Rhino Capital, an RIA


Ex-broker pleads guilty to 18-year Ponzi scheme, costing elderly investors $9 million

Dec 10, 2018

Steven Pagartanis solicited elderly victims to invest in real estate, a Canadian company and an international hotel conglomerate


Wentworth Management Services buys World Equity Group

Dec 7, 2018

World Equity has close to 180 brokers and nearly $40 million in annual revenue


UBS buckles under uproar from brokers over non-solicit agreements

Dec 5, 2018

The firm's shift in policy this week puts spotlight on the fight over who controls the client


Morgan Stanley pays $1 million to settle churning claims by ex-broker's clients

Dec 3, 2018

New Hampshire regulators find former broker Justin Amaral traded excessively in three clients' accounts


Real estate investment firm Direct Source Wealth under investigation in Indiana

Nov 29, 2018

Firm is raising millions without state or federal filings


Independent broker-dealers fastest-growing brokerage group

Nov 28, 2018

IBDs registered a five-year compound annual growth rate in assets of 11%, almost double that of wirehouses, Cerulli reports


Finra bars another broker who sold $10.8 million of Woodbridge Ponzi

Nov 27, 2018

The broker, Frank Dietrich, earned $261,000 in commissions from the sales


Baird and Hilliard Lyons, two established regional firms, to merge

Nov 27, 2018

Combined, the new firm will have 1,270 advisers and $260 billion in assets

View all stories by Bruce »

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