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.
Vanguard, Morgan Stanley, Pershing Face Class Action Over Paper Statement Fees
By Dinah Wisenberg BrinThe financial firms were sued in federal court over charging for written records of balances and trades.
September 18, 2026
Creative Planning Accelerates Employee Equity OwnershipThe program encompasses roughly 1,000 of the firm's 3,000 employees, CEO Peter Mallouk says.
September 15, 2026
Schwab Wealth Advisory Raising Fees on $5M to $25M AccountsThe RIA also will charge a product fee for third-party SMAs.
August 27, 2026
Ex-Advisor Sentenced to Nearly 6 Years for Wire Fraud, Identity TheftDean Dellas defrauded a 61-year-old man and his 91-year-old mother, according to a parallel civil complaint.
August 26, 2026
What to Know About High-Risk Structured NotesStructured products can help limit losses, but they can come with steep fees and other downsides.
August 21, 2026
Two Texans Convicted in Ponzi Scheme Tied to Ex-San Antonio AdvisorThe trio, prosecutors say, conspired to mislead the victims concerning the security of the investments and concealed their high commissions.
August 17, 2026
What the Forbes Fiasco Means for the Future of Advisor RankingsThere are other ways to identify top advisors, an industry executive says.
August 13, 2026
Secret $6M Payment to Forbes Editor Raises Questions on Advisor RankingsThe personal gift from Shook Research founder RJ Shook leaves both brands "tarnished forever," marketing pro April Rudin says.