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.
Two Texans Convicted in Ponzi Scheme Tied to Ex-San Antonio Advisor
By Dinah Wisenberg BrinThe trio, prosecutors say, conspired to mislead the victims concerning the security of the investments and concealed their high commissions.
August 11, 2026
Ex-NY Life Rep Falsified Annuity Applications: FINRAQi Hua Yang was fined and suspended for providing false account numbers as funding sources, according to the regulator.
August 03, 2026
RIA to Pay Nearly $500K for Overcharging ClientsPapamarkou Wellner Asset Management's client fees didn't match its advisory agreements or disclosure brochures, according to the SEC.
July 28, 2026
Edward Jones Asks Court to Compel 6 Black Advisors to Arbitrate Bias ClaimsA putative class-action lawsuit contends that the financial services firm discriminates in compensation, firings and promotions.
July 24, 2026
FINRA Suspends Ex-Morgan Stanley Rep Over Options Trades, TextingOne client couple lost almost $400,000 as the broker generated $62,000 in commissions, according to the regulator.
July 24, 2026
Franklin Grants Carried Interest as Pay Perk to Johnson HeirsThe special pay perks are tied to the growth of alternative and private assets.
July 10, 2026
The Real Value of an Advisor, by the NumbersRussell Investments set out to quantify how, and how much, financial advisors improve clients' returns.
July 01, 2026
How the Fastest-Growing Advisors OutperformThese advisors enjoy a 32% compound annual growth rate, PriceMetrix finds, with the bottom performers averaging 8% annually.