Category Archives: Retirement Plans

My latest JDSupra.com article can be found here.

With apologies to Tod Higgins (played by Keanu Reeves) in “Parenthood”, you need a license to practice law to be an ERISA attorney, you need to be a CPA to be a retirement plan auditor, you need a securities license … Continue reading →

An advisor friend of mine advised me of a potential client that was considering making the move to an insurance company based provider. Nothing too strange about that, except for the fact that the 401(k) salesman for the insurance company … Continue reading →

When I joined a semi-prestigious Long Island law firm (sorry, Lois) after spending over 9 years as an attorney for third party administration (TPA) firms, I thought I could develop a solid book of business in the single employer retirement … Continue reading →

For the last year or so that the Department of Labor has been trying to implement the 408(b)(2) fee disclosures, we hear about a lot of retirement plan providers (including yours truly) about the coming storm and how fee disclosure … Continue reading →

My latest JDSupra.com article can be found here.

My comments regarding wills and retirement plans for this Fortune Magazine article can be found here.

You hear all the debates in the retirement plan industry, active vs. passive; bundled vs. unbundled, ERISA §3(38) vs. co-fiduciary vs. ERISA §3(21) vs. non fiduciary, brokers vs. RIAs, among others. Regardless of the debate, there are enough plans in … Continue reading →

When I was a student at Stony Brook, I was heavily involved in student government. The student government was as chaotic as regular government except for the fact that student officials were brazenly stealing elections and student money without the … Continue reading →

My latest newsletetr geared towards financial advisors can be found here.