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.
Corient Acquires $7.8B Capital Advisors
By Rob BurgessThe firm's principals will become Corient partners upon closing, expected later this quarter.
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.
April 14, 2026
5 Strategies to Help Advisors Survive the Next Bear MarketWhen the inevitable downturn comes, it will test not just portfolios but your ability to keep the lights on.
April 13, 2026
'So Far, So Good': Morningstar on Vanguard Under RamjiThe former BlackRock exec has "been pretty busy compared to past CEOs," analyst Daniel Sotiroff says.