Search for: "Bruce Kelly"
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4 Feb 2011, 1:15 pm
The Financial Industry Regulatory Authority (FINRA) is examining sales of opaque and illiquid private investments with a critical eye, according to Bruce Kelly [read post]
16 Jun 2009, 4:32 pm
Mapping the Arabic Blogosphere: Politics, Culture, and Dissent - By Bruce Etling, John Kelly, Robert Faris, and John Palfrey -... [read post]
24 Jun 2011, 9:53 am
The ratio of broker-dealer closings to openings is almost 2:1, and this is a trend, especially for smaller broker-dealers, according to Bruce Kelly [read post]
1 Jun 2011, 12:48 pm
While financial advisers are selling the daylights out of high-yield structured products to investors who complain about low interest rates, the Financial Industry Regulatory Authority (FINRA) is warning them of the perils of such securities, according to Bruce Kelly [read post]
18 May 2012, 7:18 am
(See InvestmentNews article by Bruce Kelly entitled “Finra eyes wholesalers’ role in vending. [read post]
24 May 2012, 7:50 am
Broker-dealers’ conflicts of interest and the proliferation of complex financial products being sold by financial advisers are the top areas of concern to the Financial Industry Regulatory Authority (FINRA), according InvestmentNews (“Ketchum: Finra’s focus on conflicts of interest compounding,” by Bruce Kelly). [read post]
1 May 2012, 10:17 am
(See InvestmentNews article by Bruce Kelly entitled “Nontraded REITs’ B-D faces another probe”). [read post]
20 Oct 2011, 10:21 am
See “Boogie down and out after selling private placements,” by Bruce Kelly, InvestmentNews. [read post]
1 Aug 2006, 10:34 am
Posted by Bruce E.H. [read post]
30 Jan 2024, 7:52 am
Bruce Kelly interviews Dax White, of the White Law Group who is representing dozens of investors in claims against Triad. [read post]
25 May 2016, 4:23 am
Here’s an album with a few shots from the ABA SDR conference in Seattle, visits by Bruce Patton and Donna Stienstrato Missouri. [read post]
19 Aug 2022, 11:05 am
It emphasizes more advanced techniques than the similarly-themed introductory article The Art of the Referral (Bruce Sackman, Kelly Sisario and Jerry Lawson). [read post]
15 Aug 2012, 3:23 pm
CNL has reported that its share price had declined from its offering price of $10.00 down to $7.31 per share, a 27% decline (“Another nontraded REIT faces sharp drop in value,” by Bruce Kelly, InvestmentNews). [read post]
24 Jun 2011, 9:53 am
The ratio of broker-dealer closings to openings is almost 2:1, and this is a trend, especially for smaller broker-dealers, according to Bruce Kelly’s InvestmentNews article entitled “Ranks of B-Ds likely to shrink by 540 firms in three years. [read post]
10 Sep 2009, 11:23 am
Please visit this page today at 2:30 pm to join me, Bruce Carton of Securities Docket, Compliance Week editor Matt Kelly, and others as we follow the hearing – and bring your questions! [read post]
30 Mar 2009, 1:29 am
To Ted Nash and Odeon at Bruce Eaton's Hunt Real Estate Art of Jazz at the Albright-Knox yesterday, a show I had been looking forward to that still managed to exceed my expectations. [read post]
12 Nov 2008, 2:04 pm
In a stunning turnaround, Bank of America has agreed to abide by the "Protocol for Recruiting Brokers" after it acquires Merrill Lynch, according to Bruce Kelly of Investment News. [read post]
15 Nov 2011, 2:52 pm
A recent article by Bruce Kelly of the investmentnews.com reports on how nontraded business development companies (BDC’s) are becoming more popular by “Meeting investors’ demand for yield and corporate borrowers’ thirst for capital” and that as a vehicle increasing in popularity, it is also “drawing the attention of securities regulators. [read post]
20 Dec 2023, 11:58 am
On December 18, 2023, Bruce Kelly of Investment News writes about Philly broker Austin Dutton and his recent woes, which include a Wells Notice issued by the Financial Industry Regulatory Authority. [read post]
11 Jul 2012, 12:19 pm
(See “Real estate big suspends interest payments on private placement,” by Bruce Kelly). [read post]
