Monthly Archives: April 2015

Stick to what you know

Posted on April 28, 2015 by admin

Over the past 5 years as a solo ERISA practitioner, I always get asked if that’s all I do. It’s not some kind of insult, but a question on whether I also do financial advisory work and/or third party administration … Continue reading →

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The Rosenbaum Law Firm Review

Posted on April 27, 2015 by admin

My latest newsletter can be found here.

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An Army of One

Posted on April 23, 2015 by admin

A few years back, the Army unleashed a marketing campaign called “An Army of One.” The Sopranos has an episode called “An Army of One” when Jackie Jr. was whacked by Vito Spatafore. Around that time, I was working as … Continue reading →

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The Worthlessness Of The 401(k) Fiduciary Warranty

Posted on April 22, 2015 by admin

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

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DOL Proposes New Fiduciary Rule

Posted on April 20, 2015 by admin

Maybe it wasn’t Moses speaking from Mount Sinai, but the Department of Labor (DOL) proposed a new fiduciary rule that will change how retirement plan providers give advice. This is a re-proposal of a rule that was previously withdrawn a … Continue reading →

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My Support for a Fiduciary Rule

Posted on April 20, 2015 by admin

The current way that retirement plans are handled by registered investment advisors who are fiduciaries and the bulk of brokers who are not can be explained in a similar, following situation. Let’s say that there are two types of people … Continue reading →

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Plan Sponsors should invest in a scanner

Posted on April 20, 2015 by admin

Being a plan sponsor is a tough job and the amount of paperwork that goes with it can be overwhelming. The paperwork includes plan documents, summary plan descriptions, amendment, valuations, trusts statements, and payroll. The fact is that as a … Continue reading →

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There’s a Cost For Those “Free” SEP and SIMPLE IRA Plans

Posted on April 17, 2015 by admin

My latest JDSupra.com article can be found here.

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Using Plan Sponsor fear of liability into positive action

Posted on April 14, 2015 by admin

Many plan sponsors have a fear of liability and that’s a good thing is they put that fear into use by putting good practices in place for their retirement plan. It means nothing if plan sponsors process that fear into … Continue reading →

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Complacency is a Plan Provider Killer

Posted on April 13, 2015 by admin

Complacency can kill a retirement plan provider and their business. Complacency is a two fold, being complacent in the retirement plan industry and being complacent with your clients. Any business whether it’s retirement plan based or not, has to change … Continue reading →

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