Category Archives: Retirement Plans

The retirement cap is a threat to the Retirement Plan Industry

Any industry needs to identify threats to its existence and develop a course of action to defeat that threat. The music industry is a shell of its former self. While they were awarding large contracts to artists like Janet Jackson … Continue reading

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Why Retirement Plan Sponsors Need To Care About Plan Design

My latest JDSupra.com article can be found here.

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More on the 401(k) Fiduciary Warranties

Of all the articles I have written, the recent one about The Worthlessness of 401(k) Fiduciary Warranties has gotten the greatest response. I thank all my readers who have had a hand in building my national ERISA/ retirement plan practice. … Continue reading

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Fee disclosures wasn’t going to change everything after Day 1

When Eliot Spitzer was campaigning for the Governor of New York, he was well known in his role as a tough as nails Attorney General. In his campaign ads for Governor, Spitzer claimed that on “Day 1, everything changes”. Having … Continue reading

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The Worthlessness of The 401(k) Fiduciary Warranty

My latest JDSupra.com article can be found here.

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To Flat Fee Bill or Not, that is your Question

The New York Times had an interesting article regarding the tyranny of law firms using the billable hour.  I worked for a couple of law firms for a couple of years and it wasn’t my cup of tea. I’m not … Continue reading

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Advisors Advantage

My newsletter geared towards financial advisors and third party administrators can be found here.

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Fee Disclosures: Part II?

One of the many projects that the Department of Labor (DOL) is working on; gets us back to the Section 408(b)(2) disclosures. Shortly, the DOL may amend the disclosure regulations to require a guide or supplement should be issues to … Continue reading

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The “Real” Role of a 401(k) Plan Financial Advisor

My latest JDSupra.com article can be found here.

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Networking with other plan providers is more than a quick score of referrals

When a rock band goes into a studio to record an album, they start writing new songs. Some members of the band will start a riff that can become the next hit, become part of the album, or left behind … Continue reading

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