Monthly Archives: September 2017

I serve as the attorney for a registered investment advisor out on Long Island and they forwarded me an email from a plan sponsor regarding a news article from last year of a potential class action lawsuit against a well-known … Continue reading →

A federal court ruled that Edison International must pay more than $7.5 million to compensate plan participants for its decision to include high-fee retail share mutual funds in its 401(k) plan when identical institutional share classes were available at lower … Continue reading →

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

There is a great scene from the movie In The Line of fare where Clint Eastwood’s character Frank Horrigan who is a Secret Service agent is on the phone with potential Presidential assassin Mitch Leary, played by John Malkovich. Leary … Continue reading →

The Fiduciary Rule is like a bad soap opera where the action takes too long to happen and it’s just stretched out over time making small turns with some end game to happen later down the line. The Office of … Continue reading →

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

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