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JDSupra
Categories
Monthly Archives: June 2021
The Rosenbaum Law Firm Review
My latest newsletter can be found here.
Posted in Retirement Plans
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Assets being stolen, it can happen, it has happened
A third-party administrator (TPA) and/or plan fiduciary stealing plans assets is easier than you think. TPA Vantage Benefits stole $14 million from 6-7 of their clients wasn’t be surprising to me because I saw it before with Matt Hutcheson and … Continue reading
Posted in Retirement Plans
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It no longer matters where your plan provider is
I’m the guy who will travel to a Target further from my home because the Target in Farmingdale is far better than Westbury and Valley Stream and people think I’m crazy to travel 15 minutes more for a better run … Continue reading
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Crypto can only be offered in a self-directed window
People know that I love crypto investing, but hate it as a potential 401(k) investment for almost all plan participants. Providers will offer it within a small self-directed. A brokerage-like window with minimum exposure. I believe For Us All is … Continue reading
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The forgetful part of the DFVCP will cost you
The Delinquent Filer Voluntary Compliance Program (DFVCP) is a Department of Labor (DOL) program designed to encourage voluntary compliance with ERISA’s 5500 program. It’s great as a plan sponsor if you forget to file a Form 5500 and pay thousands … Continue reading
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Lowe’s settles for $12.5 million
Lowe’s Cos. settled a class-action lawsuit filed by a participant in its 401(k) plan for a $12.5 million settlement fund from which participant class members are entitled to distributions. The class-action lawsuit alleged that Lowe’s, its administrative committee, and investment … Continue reading
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John Hancock forks over $14 million in 401(k) lawsuit
When you operate proprietary mutual funds and offer them in your401(k) plan, you will be a target of ERISA litigators. John Hancock agreed to a $14 million settlement in a lawsuit filed by participants in a company 401(k) plan who alleged ERISA … Continue reading
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Retirement Plan Provider Gimmicks You Need To Be Aware Of
My latest article for JDSupra.com can be found 1.
Posted in Retirement Plans
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What 401(k) Plan Sponsors Need To Know About The Investment Policy Statement
My latest article for JDSupra.com can be found here.
Posted in Retirement Plans
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ERISA Attorney and the Snowball effect
When it comes to retirement plans, we have a snowball effect. The effect is usually when the plan sponsor has a plan problem and decides to either try to fix it on their own or lean on legal counsel with … Continue reading
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