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.
Rep in Hot Water Over Annuity Rider, Reverse Mortgage Recommendations
By Melanie WaddellClayton K. Shum also engaged in undisclosed outside business activities and disclosed clients' personal information, FINRA states.
May 12, 2026
The Big Question Looming Over Bonuses This YearComp experts predict one of two outcomes: market momentum drives modest increases, or a big shock drains bonus pools.
May 04, 2026
Average Yearly Financial Planning Fee Surges 52% in 3 YearsFlat fees have risen by 15% since 2023, Envestnet reports, while subscription fees have reached $595 per month.
May 01, 2026
Cambridge Fined $200K for Failing to Quash UIT TradingA rep's costly recommendations violated Reg BI, a FINRA order states.
April 23, 2026
Branch Manager Suspended at Firm Accused of Widespread ChurningA New York branch manager failed to supervise 39 reps' trading misconduct, FINRA's order states.
April 22, 2026
How to Help Business Owner Clients Slow the Executive ExodusOne good way may be to offer the executives better retirement benefits.
April 20, 2026
Rep Fired for Misusing $15,000 in Erroneous Commission Payments Gets FINRA SuspensionBrandon Still misappropriated $15,000 that Arvest Wealth mistakenly paid him, according to FINRA.
April 15, 2026
6 New Findings on What Drives Advisors' Happiness: KitcesOverall, according to the 2025 study, financial advisors reported "notably higher wellbeing" than the general population.