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.
Stock Compensation: It's Complicated
By Kenneth Van LeeuwenAn advisor well-versed in the ins and outs of equity compensation can be indispensable to wealthy executive clients.
September 30, 2019
SEC Hits 17 More Advisors in 12b-1 Fee CrackdownThe firms include 16 advisors that self-reported as part of an enforcement initiative.
September 27, 2019
Pressure Is On as Wells Fargo Names New CEOCan Charles Scharf restore the firm's reputation after years of scandals?
September 17, 2019
US Among Top 3 Global Markets for Low Fees: MorningstarMorningstar graded 26 markets on their investor-friendliness in the area of fees and expenses.
September 03, 2019
Broadridge's Latest Acquisition Is Financial Database ServicesThe purchase will strengthen Broadridge's advisor compensation capabilities.
August 21, 2019
Sen. Warren Presses Wells Fargo on Fees for Closed AccountsThe senator has given the bank several weeks to answer questions about the alleged charges.
July 18, 2019
'Boring' Year Ahead for Merrill Comp Plan Changes, Exec SaysAfter lots of tinkering over the past two years, the Thunder Herd's Growth Grid should see little change in 2020, an executive says.
July 10, 2019
Why Now's the Time to Start Making Comp PlansWorking on compensation structures during the summer makes for better planning and easier times later in the year.