Ary Rosenbaum – The Rosenbaum Law Firm P.C.

Read the plan document

Being an ERISA attorney for a couple of third party administration (TPA) firms when I first started helps you develop a sense of humor because there are too many people I was associated with who had absolutely zero training when…more
| Finance & Banking, Labor & Employment Law

Why an Employer Should Sponsor A 401(k) Plan

As an employer, a big reason for setting up a retirement plan is because it’s an employee benefit and it can be used to recruit and retain top-level employees. Unlike health insurance, the costs of running a retirement plan…more
| Business Organizations, Labor & Employment Law, Law Practice Products & Services, Taxation

Why you have nothing to fear about government being in the retirement plan business

As a retirement plan provider, competition is a big thing and the last thing you want is a competitor with unlimited pockets. So you’d be fearing state government being in the auto-IRA business and then eventually, the multiple…more
| Finance & Banking, Labor & Employment Law

Ask the TPA about their administrators’ training

If I want to get a new doctor or an attorney, I certainly want to know their background. Same with a financial advisor, I don’t want the next Bernie Madoff. When you hire a professional, you want to know their credentials…more
| Finance & Banking, Labor & Employment Law

As a plan provider, make sure there are security processes in place

As a retirement plan provider, you have something to do with the retirement plan assets and may have some access to it as a third party administrator (TPA) or financial advisor..…more
| Finance & Banking, Labor & Employment Law

It’s Time For 401(k) Plan Sponsors To Get A Grip

As an ERISA attorney with a national retirement plan practice, I often feel like a flight attendant giving the safety discussion on a commercial airplane. When I talk about retirement plans and fiduciary liability, I think half…more
| Business Organizations, Finance & Banking, Labor & Employment Law, Law Practice Products & Services, Taxation

Education is an important part of the fiduciary process

Advisors ask me all the time of the role of education in participant directed 401(k) plans. Participant directed 401(k) plans that are governed under ERISA §404(c) offer the plan sponsors liability protection based on a…more
| Finance & Banking, Labor & Employment Law

The Problem With Loans

When I draft a new 401(k) plan for a client, I’ll recommend a loan provision even though it can be an administrative headache. The reason that I add it because I think participants need to have access to money if in their…more
| Finance & Banking, Labor & Employment Law

RIAs win one with Fiduciary Rule Delay

When it comes to standards, I know Kosher is Kosher. However, when it comes to meat, observant Jews now only eat Glatt Kosher meat. It’s a higher standard in the sense that it’s supposed to mean that there is a lack of blemish…more
| Elections & Politics, Finance & Banking, Labor & Employment Law

How a 401(k) Plan Sponsor Minimize Their Liability In 8 Easy Steps

Sponsoring and operating a 401(k) plan isn’t easy. A plan sponsor can’t just set up the plan and forget it. They need to constantly be on the watch because of the liability exposure they have as a plan sponsor. When plan…more
| Business Organizations, Labor & Employment Law, Finance & Banking, Law Practice Products & Services, Taxation

Being a Plan Sponsor is all about the Process

Imagine a diet where it doesn’t matter how much weight you lost. Imagine a golf game that wasn’t about your score. Imagine about a job and not how much money you make. Being a plan sponsor isn’t about a specific result, it’s all…more
| Finance & Banking, Labor & Employment Law

Trump delays the fiduciary rule, but the broker-dealers lost

President Donald Trump delayed the implementation of the Department of Labor fiduciary rule by six months through a directive. While the delay is only for six months, Trump put enough hurdles that implementation of the new rule…more
| Finance & Banking, Labor & Employment Law, Securities Law

Advisors Advantage - February 2017

Concepts That Retirement Plan Advisors Shouldn't Focus On. It would be a detriment to focus only on this stuff. Being a financial advisor isn't as easy as many people on the outside think. There are so many things you …more
| Business Torts, Finance & Banking, Labor & Employment Law, Securities Law

Some TPA Humor

I worked 9 years working as an ERISA attorney for a couple of third party administrators (TPA) and I always felt like I was a fireman because I put out a lot of compliance fires for our clients and sometimes, it was our…more
| Finance & Banking, Labor & Employment Law

Concepts That Retirement Plan Advisors Shouldn’t Focus On

Being a financial advisor isn’t as easy as many people on the outside think. There are so many things you need to manage in terms of your practice and dealing with potential and current plan sponsor clients. There are so many…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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