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.
Ex-NY Life Rep Falsified Annuity Applications: FINRA
By Melanie WaddellQi Hua Yang was fined and suspended for providing false account numbers as funding sources, according to the regulator.
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.
June 24, 2026
Advisors Are Bullish on Model Portfolios: MorningstarAt the end of March, the researcher notes, such vehicles reached $943 billion, up 46% over last year.
June 17, 2026
Semiliquid Funds Soar to $600B as Private Credit Loses Steam: MorningstarEvergreen assets, research finds, are entering a new phase as investor demand shifts and top risks become more apparent.
June 17, 2026
FINRA Expels BD Over Reg BI ViolationsThe regulator has also barred Reid & Rudiger's co-founders for excessively trading 20 accounts.