Ary Rosenbaum – The Rosenbaum Law Firm P.C.

The Next Big Thing After The Fiduciary Rule? I have some guesses

With the fiduciary rule coming down the pike in April, people ask me what the next big thing to shake up the retirement plan industry will be. I’m no soothsayer, but I think there will be a couple of areas that the Department of…more
| Finance & Banking, Labor & Employment Law

How Keeping Good Records Can Minimize A Retirement Plan Sponsor’s Liability

Besides being a religious text, the Bible is essentially a history book detailing major religious events like the Exodus from Egypt. A history book is a record of events that can be passed down from generation to generation…more
| Business Organizations, Labor & Employment Law, Finance & Banking, Law Practice Products & Services, Taxation

Yes, a Fiduciary was held personally liable

In my practice, I always talk about how plan fiduciaries can be held personally liable for any issues regarding their retirement plan. Many plan sponsors just don’t pay any attention to that threat until they see it happen to…more
| Business Torts, Finance & Banking, Labor & Employment Law, Securities Law

Fiduciary Rule will clear out the Alphabet Soup of Share Classes

When it comes to mutual funds offered under 401(k) plans, I’ve always believed that the multiple share classes was something out of an alphabet soup. I’m not an advisor, so I don’t know how or why there is so many share classes,…more
| Finance & Banking, Labor & Employment Law, Securities Law

Plan Sponsors Sued Over Fees on Multiple Plans and Vendors

In a very novel retirement fee lawsuit, a plan sponsor is being sued over the cost of multiple plans and the use of multiple record-keepers…more
| Business Torts, Finance & Banking, Labor & Employment Law

Setting the tone

I’ve been involved with so many small organizations both profit and non-profit in one form or another as employee, officer, or client. The one thing that is consistent with each organization is that the leadership sets the tone…more
| Law Practice Products & Services

As A 401(k) Sponsor, A Class Action Lawsuit Is The Least Of Your Legal Worries

Having been in my own practice for over 6 years, it’s a broken record hearing from 401(k) plan sponsors on how they have nothing to fear about being sued since their plans are small potatoes. The problem with that view is that a…more
| Business Organizations, Labor & Employment Law, Finance & Banking, Law Practice Products & Services, Taxation

Clients criticize; get over it

There is a point where you have to realize that no matter how good you are and no matter how good your service is, there is always going to be a client that isn’t going to be happy with you...…more
| Law Practice Products & Services

Advisors Advantage - January 2017

How An RIA Can Profit Off Of The New Fiduciary Rule. It's an opportunity. When it comes to an industry, change is often fraught with trepidation and fear. However, I always believe that change also brings opportunity…more
| Finance & Banking, Labor & Employment Law, Law Practice Products & Services

Survey proves one thing: Participants need education

A new 401(k) survey from Fisher Investments 401(k) Solutions, shows a lack of knowledge among Americans when it comes to their 401(k) plan. 71 percent of respondents to the survey failed Fisher’s 401(k) IQ in the Workplace Quiz,…more
| Finance & Banking, Labor & Employment Law, Securities Law

How An RIA Can Profit Off Of The New Fiduciary Rule

When it comes to an industry, change is often fraught with trepidation and fear. However, I always believe that change also brings opportunity. So while people are predicting gloom and doom when discussing the Department of…more
| Business Organizations, Finance & Banking, Labor & Employment Law, Law Practice Products & Services, Taxation

Let it go

One thing I’ve learned over time is not to bottle up anger. Ever since I was a kid, I was passive-aggressive, I wouldn’t confront people with issues that bothered me and I’d bottle it up until I blew up later down the line. I…more
| Law Practice Products & Services

The Rosenbaum Law Firm Review - December 2016

The Potential Liability of Participant Directed 401(k) Plans. There is a liability lurking there. As children, we were told the story of Jack and The Beanstalk. Jack sells a cow for some "magic beans" and his mother…more
| Finance & Banking, Labor & Employment Law

Your Business Can Fall A Lot Quicker That It Rose

One of the business philosophies I learned while working for third party administrator is that it’s a lot easier to lose a client than to gain one. I know that first hand, seeing bad service that gets plan sponsors to fire you…more
| Finance & Banking, Labor & Employment Law

The Potential Liability of Participant Directed 401(k) Plans

As children, we were told the story of Jack and The Beanstalk. Jack sells a cow for some “magic beans” and his mother is so angry, she throws the beans on the ground and a magic beanstalk grows overnight. When it comes to plan…more
| Business Organizations, Labor & Employment Law, Finance & Banking, Law Practice Products & Services, Taxation
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Contact

734 Franklin Avenue
Suite 302
Greater New York City Area, New York 11530, United States

  • 516.594.1557
  • 516-368-3780

Areas of Practice
  • Business Organizations
  • Labor & Employment Law
  • Taxation
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