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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=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

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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

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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

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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

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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

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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

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Once again, GPB delays release of audited financial statements

Sep 12, 2019

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

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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

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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

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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

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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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