Category Archives: Retirement Plans

When I first started out as an ERISA attorney working for a third party administrator in the late 90’s, I remember when advisors tried to get in the very hot, highly ranked funds such as Janus Twenty. I remember the … Continue reading →

While plan providers tell 401(k) plan sponsors such as yourselves that you need to focus on fee and fiduciary issues, you should never lose sight of the fact that a 401(k) plan is an employee benefit. Just like health insurance, … Continue reading →

Having employees can get a bit messy. I know that from experience, having left a position or two that may not have been on the best of terms (I bring that out in people). If you have a 401(k) plan … Continue reading →

The 9th Circuit upheld the dismissal of a complaint by participants in the Walt Disney Co. 401(k) plan that Disney violated their fiduciary duty by offering the Sequoia Fund, a mutual fund that had plummeted in value. A three-judge panel of … Continue reading →

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

When I was 13 and I had my Bar Mitzvah, I plunked down about $2,000 in 1985 money for a state of the art Apple IIe with a monochrome monitor. One of the first pieces of software I bought was … Continue reading →

Chutzpah is nerve, shameless audacity. The best example of chutzpah is someone who kills their parents and asks the court for leniency because they’re an orphan. I’ve been in this business of ours for the past 20 plus years and … Continue reading →

“You like potato and I like potahto You like tomato and I like tomahto Potato, potahto, tomato, tomahto Let’s call the whole thing off” Fidelity is being sued and being investigated for shelf space payments they receive from mutual fund … Continue reading →

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

If you have a client that is being bought out or is buying another company, the first thing you need to do like the plan’s financial advisor is to call an ERISA attorney. From experience, not many people give ample … Continue reading →