Bruce Kelly

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.

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Displaying 1645 results

Topic

Franklin Templeton’s private client group to buy $4.7 billion wealth management shop

Fiduciary Trust Co. International to buy The Pennsylvania Trust Co.

Topic

UBS hires $10.8 billion team as net new client money in U.S. slides

The Swiss bank snags Wickham Cash Partners in Charlotte; reports $9 billion decline in net new money in Americas in Q4

Topic

Morgan Stanley eyes 1 million wealth management clients from stock plans

Technology push at Morgan Stanley comes into focus after Solium Capital acquisition

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Merrill to continue focus on training over recruiting in 2020

Long the financial advice industry's leading trainer of young brokers, Merrill to renew attention on coaching

Topic

Wells Fargo loses more than 450 advisers in 2019

Expenses also increased at Wells Fargo Advisors, and the firm lost a clearing client

Topic

It’s 2020, and the chase for big commissions is back

The financial advice industry is priming the pump to increase sales of high-commission products

Topic

Next Financial smacked with $475,000 in fines related to nontraded REIT

Massachusetts and New Hampshire cited the firm's sales practices and supervisory failures

Topic

Former Ladenburg chairman files suit to stop Advisor Group merger

Phillip Frost seeks monetary damages, a halt to the merger and the cancellation of the 2018 transaction

Topic

CFP Board’s enforcement program needs a shake-up: report

Self-reporting of regulatory issues by advisers has been a clear weakness.

Topic

SEC charges head of small REIT and BDC with fraud

Suneet Singal allegedly lied about owning a dozen hotels to close a deal.

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