Monthly Archives: February 2017

It’s a favorite topic of mine because it’s fascinating to consider, so many mutual fund companies are being targeted for litigation for offering proprietary mutual funds in their employees’ 401(k) plan. Every week, it seems that another mutual fund company … Continue reading →

An excessive fee lawsuit against Oracle Corporation will go on as the plaintiffs overcame a motion to dismiss. The lawsuit alleges that Oracle allowed the plan record keeper Fidelity to be paid between $68 to $140 per participant rather than … Continue reading →

The retirement plan industry is very close knit. Everyone knows who does great work and the few that don’t. Word travels fast about the good, the bad, and the ugly in this business. Whether you are a financial advisor, third … Continue reading →

My latest newsletter can be found here.

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

When you meet retirement plan sponsors just at different networking events and they find out that you’re a retirement plan provider, they may volunteer that their retirement plan is in perfect shape. As we know as retirement plan providers, they … Continue reading →

Being an ERISA attorney for a couple of third party administration (TPA) firms when I first started helps you develop a sense of humor because there are too many people I was associated with who had absolutely zero training when … Continue reading →

As a retirement plan provider, competition is a big thing and the last thing you want is a competitor with unlimited pockets. So you’d be fearing state government being in the auto-IRA business and then eventually, the multiple employer plan … Continue reading →

If I want to get a new doctor or an attorney, I certainly want to know their background. Same with a financial advisor, I don’t want the next Bernie Madoff. When you hire a professional, you want to know their … Continue reading →

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