Category Archives: Retirement Plans

As an advisor, it’s not just about fees and fiduciary duty

I know of a financial advisor for a very long time, so long that he was focusing on fees, good fiduciary management, and fund performance, way before fee disclosure and other advisors made it fashionable. Yet, I heard from him … Continue reading

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One of the biggest problems is unmet expectations

I have a lot of opinions and I’m not afraid to express them. One of the things that get me upset with businesses and organizations is unmet expectations. Whether it was my law school or some legal staffing agency when … Continue reading

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Lawsuits against Fidelity piling on

With Fidelity being under fire for “shelf space payments” from mutual fund companies to appear on their platform, it’s not surprising that ERISA litigators smell blood in the water like the sharks people think they are. Three 401(k) plans sued … Continue reading

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The Rosenbaum Law Firm Review

My latest newsletter can be found here.

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How 401(k) Plan Sponsors Should Deal With Plan Enrollment/Education Meetings

My latest article on JDSupra.com can be found here.

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Don’t let time take you out

Rocky Balboa explained to Adonis in the movie Creed, that he beat Apollo Creed for the heavyweight title because of time. Rocky said: “Time takes everybody out; time’s undefeated.” What does that mean? That means time will eventually take out … Continue reading

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One way to treat clients right, make them comfortable

Going to the movies was never fun. The theaters were dirty and if you arrived late, then you’d end up in the front row plus the menu was limited to popcorn, candy, and hot dogs. A funny thing happened: movie … Continue reading

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The 401(k) match-student loan program is becoming a big thing, at least marketing wise

Ever since the Internal Revenue Service opined that one particular 401(k) plan could use matching contributions instead to help employees pay off your student loans. On paper, a great idea since I love options. As with any idea, everyone is … Continue reading

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Principal in talks to acquire Well Fargo’s 401(k) Business

The word on the street is that Principal Financial Group Inc is in talks to acquire Wells Fargo & Co’s retirement plan services business, in a deal that could exceed $1 billion. With Wells Fargo still trying to overcome some … Continue reading

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There will always be room for chocolate in this business

I had a friend of mine who was an advisor who was lamenting about the changing environment of the retirement plan business as certain providers become larger and offering plain vanilla services in terms of administration and/or investment services. This … Continue reading

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