Compensation and Fees
What leading financial advisors, experts and firms are saying about compensation and fees for registered representatives (both independent and employee) and registered investment advisors.
JPMorgan Loses Deli Platter Fight
By Melanie WaddellA judge upheld a $4.25 million arb award to a broker the bank fired over Super Bowl party expenses.
September 23, 2026
Vanguard, Morgan Stanley, Pershing Face Class Action Over Paper Statement FeesThe financial firms were sued in federal court over charging for written records of balances and trades.
September 23, 2026
Morgan Stanley Advisors Face Higher Revenue Hurdles in 2027With grid thresholds 10% higher, a market dip "becomes a dangerous double-whammy," a consultant says.
September 22, 2026
Osaic to Pay $1.6M Over Unit Investment TrustsAmerican Portfolios, a former unit, failed to supervise recommendations that customers sell before maturity, FINRA states.
September 18, 2026
Creative Planning Accelerates Employee Equity OwnershipThe program encompasses roughly 1,000 of the firm's 3,000 employees, CEO Peter Mallouk says.
September 15, 2026
Schwab Wealth Advisory Raising Fees on $5M to $25M AccountsThe RIA also will charge a product fee for third-party SMAs.
August 27, 2026
Ex-Advisor Sentenced to Nearly 6 Years for Wire Fraud, Identity TheftDean Dellas defrauded a 61-year-old man and his 91-year-old mother, according to a parallel civil complaint.
August 26, 2026
What to Know About High-Risk Structured NotesStructured products can help limit losses, but they can come with steep fees and other downsides.