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.
SEC Hits 17 More Advisors in 12b-1 Fee Crackdown
By Melanie WaddellThe firms include 16 advisors that self-reported as part of an enforcement initiative.
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.
July 03, 2019
Massachusetts Finalizes Fee Table for RIA FirmsThe fee table will be required for all state-registered RIAs to file beginning January 1, 2020.
July 03, 2019
7 Things Your Friends Should Know About Your BusinessIf they know what you do, they'll come to you instead of your competitors when they need advice.
June 19, 2019
Woman Scammed on Dating Site Sues VC PrincipalsThey trolled a millionaire dating site to defraud wealthy women, a California lawsuit claims.