Monthly Archives: November 2011

The Casino count room and the 401(k) Custodian

Posted on November 9, 2011 by admin

One of the more interesting points of the movie Casino was that Nevada Gaming Control rules forbade casino owners from being in their own count room, where all the money from gaming was collected.  It was an absurd point, but … Continue reading →

Posted in 401(k) Plans, Retirement Plans | 1 Comment

The 2012 Retirement Plan “Perfect Storm”

Posted on November 8, 2011 by admin

A “perfect storm” is an expression that describes an event where a rare combination of circumstances will aggravate a situation drastically. The term is also used to describe an actual phenomenon that results in an event of unusual magnitude. With … Continue reading →

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Advisors Advantage

Posted on November 7, 2011 by admin

My latest newsletter for retirement plan advisors can be found here.

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How Financial Advisors Can Use the New 401(k) Advice Rules to Their Competitive Advantage

Posted on November 6, 2011 by admin

For my latest JDSupra.com article, please click here.

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The Law Firm Review

Posted on November 3, 2011 by admin

My latest newsletter can be found here.

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DOL investigations of Retirement Plan Financial Advisors

Posted on November 1, 2011 by admin

There was a great article written by Fred Reish and his staff regarding Department of Labor (DOL)investigations into broker dealers and registered investment advisors and their relationships with their retirement plan clients. I recommend everyone in the industry to read … Continue reading →

Posted in 401(k) Plans, Retirement Plans | 1 Comment