Category Archives: Retirement Plans

Since I’m a big fan of business and human interactions, I’d love to throw out another management principle I’ve thought about based on my work experience working as an employee for both third-party administration firms (TPAs) and law firms. I’ve … Continue reading →

When your practice is successful as a retirement plan provider, you’re going to want to hire people who work outside the retirement plan business to help you manage your firm because the day to day running of a business doesn’t … Continue reading →

While I went to law school for a law degree and stayed an extra year to get a tax LLM degree, my feelings about the law are as simple as: “the rules are the rules are the rules.” Maybe it’s … Continue reading →

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

As a child, you’re usually told by your parents that they just want to hear the truth and that telling the truth is going to carry a far less punishment than if you lie and try to hide whatever bad … Continue reading →

I had a contractor work on my house for a couple of projects. Frank installed a new front door, installed a garage, re-did the sheetrocking of a few rooms, and installed a new kitchen. We thought he was dependable and … Continue reading →

They often say that the road to hell is paved with good intentions. I don’t know who said it first (I heard it was originated with St. Bernard, the saint, not the dog), but perhaps they were a 401(k) plan … Continue reading →

One would think that the role of a retirement plan financial advisor is to pick plan investments. Most plan sponsors think that way and some financial advisors think as well. Some financial advisors promote their brilliant picking of actively managed … Continue reading →

ERISA §404(c), is the code section that may limit a plan sponsor’s liability in retirement plans where participant directs their investments. There are many people in the marketplace that have guaranteed that plan sponsors won’t get sued with 404(c) compliance … Continue reading →

As an ERISA attorney, I do get to talk to a lot of financial advisors and ERISA independent fiduciaries around the country, and the lament is that many plan sponsors don’t understand or care about such important fiduciary problems like … Continue reading →