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Bruce Kelly

Senior Columnist, Independent Broker-Dealers and Wirehouses

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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

Finra-main

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

Lawsuit-main

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

Justice-main

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

Merger-main

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-main

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

MorganStanley3-Main

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

Regulation-main

Real estate investment firm Direct Source Wealth under investigation in Indiana

Nov 29, 2018

Firm is raising millions without state or federal filings

IBDgrowth-main

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-02

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

Merger-main

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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