HeyJaredBruce Kelly
- Indexed articles, last 90 days
- 52
- Latest publication
- Oct 1, 2026
- Outlet visibility, for InvestmentNews
- Top 1M sites
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- Jul 7, 2026
Latest articles
SEC bars NY advisor who allegedly defrauded elderly client of $2.4 million (opens the original)
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The Securities and Exchange Commission last month barred a veteran New York advisor, Clarice Crystal Saw, who allegedly defrauded $2.4 million from an elderly client while working at Cetera Investment Services, one of the broker-dealers in the giant network of Cetera Financial firms. According to her BrokerCheck profile, Saw worked at 11 firms starting in 1996 through 2023. She was registered with Cetera Investment Services in Flushing, N.Y., from September 2021 to June 2022, according to Broker
Stifel settles massive $30 million complaint involving star broker’s sale of structured products (opens the original)
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Stifel Financial Corp. keeps paying massive dollar amounts in settlement to clients who claimed they were wronged by former star broker, Chuck Roberts, and just days ago agreed to pay customers who recently sued the firm a stunning $30 million. Roberts and his former brokerage firm, Stifel Nicolaus & Co. Inc., for years have been facing scrutiny due to sales of structured products and structured notes, sophisticated but at times volatile investments for clients. In total, Stifel Nicolaus has pai
FINRA bars former LPL broker for stealing $1.7 million from customers (opens the original)
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FINRA on Tuesday morning said it had barred a broker who was fired by LPL Financial almost a year ago and faced allegations of taking more than $1.7 million from two customers while registered with LPL. A veteran financial advisor with 19 years of experience in the industry, Rudy Anguiano was registered with LPL Financial in Brea, Calif., near Anaheim, from April 2022 until last December, according to his BrokerCheck profile. FINRA barred Anguiano from working at any broker-dealer due to the “co
Alternative ETFs boom in 2026 (opens the original)
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Investors and financial advisors this year have turned to exchange-traded funds that invest in a variety of alternative strategies, even as many investors and advisors decide to flee alternative funds that have far fewer opportunities for investors to sell and cash out. According to fund tracker Morningstar Inc., alternative ETF estimated net asset flows totaled $10.7 billion for the first seven months of the year, or more than four times the total amount of new money tallied last year. Meanwhil
Fear of Meta’s Muse whacks share prices of financial advice firms: Reports (opens the original)
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In what’s becoming an increasingly common occurrence, the share prices of publicly traded financial advice and wealth management companies took a hit on Tuesday due to anxieties of artificial intelligence eating away at the future earnings of such firms, whose financial advisors charge clients annual fees in the neighborhood of 1% of assets for their work. It is widely feared that financial planning functions based on AI will erode that fee and thus the earnings of companies – think behemoths li
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