Category Archives: Retirement Plans

I always believe that appearances are extremely important and if things just don’t look right, they should be avoided at all costs. I take issue with my school district where the children of the board of education members have been … Continue reading →

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

I always believe that appearances are extremely important and if things just don’t look right, they should be avoided at all costs. I take issue with my school district where the children of the board of education members have been … Continue reading →

I always say that you have better chances not getting caught by robbing a bank than you do by stealing money as a plan fiduciary. Yet, people still do it and come up with some amazing ways to get away … Continue reading →

Shelf space payments where mutual fund companies pay to get access on a particular 401(k) custodial platform is a trending topic. The payments made are for access and if you don’t pay if you’re a mutual fund company, you don’t … Continue reading →

We all know that when we make a mistake, it’s best that we correct them. Yet too many plan sponsors take a gamble by not self-correcting errors made in their plan. They play what we call the audit gamble, gambling … Continue reading →

I was very outspoken in law school, complaining some of the injustices and hypocrisy that went on. I think there were some in the faculty and in the student body that thought that I was just an army of one … Continue reading →

I had a plan sponsor forward me a contract they received from their financial advisor on a previous plan. Rightfully, the plan sponsor was concerned that they received this contract out of the blue. While this plan sponsor was wise … Continue reading →

In news that was far from earth-shattering, The Department of Labor (DOL) announced a final rule today that reiterated the proposed rule on multiple employer plans (MEPs) – and an RFI that seeks more information on “open” MEPs. The final … Continue reading →

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