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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=20181019080824

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-Wells Fargo brokers sue for damages, claiming they lost business in wake of scandals

Oct 18, 2018

In a Finra arbitration complaint, two brokers allege that Wells Fargo's problems damaged their business


LPL reels in $520 million team from rival Cambridge

Oct 18, 2018

LPL has been targeting teams from rivals throughout the year


Ex-Wells Fargo broker complaint wins class action status in fight over deferred compensation

Oct 16, 2018

Broker alleges he was cheated out of $200,000 in compensation protected by ERISA


Merrill to continue pay plan that rewards advisers for new clients

Oct 15, 2018

So far in 2018, Merrill Lynch has seen the best performance in this area in the last five years


Wells Fargo loses more reps in Q3; total now more than 1,000 since banking scandal broke

Oct 12, 2018

The firm lost another 152 advisers in the quarter, and total adviser workforce is down 6.7% in past two years


Allianz dumps its IBD

Oct 11, 2018

Advisor Group broker-dealer picks up Questar Capital from Allianz


Cetera purges board after being bought by Genstar Capital

Oct 11, 2018

Former CEOs of eMoney Advisors and Lincoln Financial Network among those replaced with executives with ties to the new private equity owner


After setting up phony accounts, ex-Wells Fargo broker stole money

Oct 10, 2018

Finra bars Thomas A. Davis, who worked in Hilton Head Island, S.C., for Wells Fargo Bank


Finra bars former Wells Fargo broker in Florida

Oct 10, 2018

Rep allegedly manipulated a client account to maintain his status for working with international clients


In cases that could tarnish a broker's reputation, Finra must do better

Oct 9, 2018

Finra charged Stanley Niekras in 2016 with violating industry catch all Rule 2010, but couldn't produce testimony from key witnesses

View all stories by Bruce »


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