Ary Rosenbaum – The Rosenbaum Law Firm P.C.

Sometimes it’s about control

As a retirement plan provider, you meet a potential client and you just do so well in the meeting that you think there should be no way that you’re going to lose this prospect. Yet you get the call that a competing provider got…more
| Finance & Banking, Labor & Employment Law

Who is the biggest 401(k) Recordkeeper and what really matters

A few weeks back, I wrote an article about 401(k) hustlers you should watch out for and I mentioned the caveat of using a payroll provider as your 401(k)’s third party administrator (TPA). I posted it on LinkedIn and someone…more
| Finance & Banking, Labor & Employment Law

Avoid the Walter Principle

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)…more
| Labor & Employment Law, Law Practice Products & Services

The IRS Voluntary Compliance Program Is Like Your Parents

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 thing you do. The…more
| Finance & Banking, Labor & Employment Law, Taxation

The Problem With The BIC

The biggest hallmark for the new Fiduciary Rule is the best interest contract exemption and the need for brokers to get those signed with their retirement plan and IRA clients. Getting legalese written on paper isn’t going to be…more
| Business Torts, Finance & Banking, Labor & Employment Law

401(k) Sponsors Say Their Plan is OK, but They Really Have No Idea

When I was dating my wife, she asked me if I had a good credit score and I said I did. I never checked my credit score, but I paid all my bills in full and on time. Of course when I got a copy of my credit report, my credit…more
| Business Organizations, Finance & Banking, Labor & Employment Law, Law Practice Products & Services, Taxation

Some Brokers Will Leave, But Not Like What They’re Saying

Experts saying how many brokers are going to leave the retirement plan business reminds me of the radio report that Henry Hill heard in the shower about the Lufthansa heist, in Goodfellas. Like the loot stolen in the heist, the…more
| Finance & Banking, Labor & Employment Law

State Run IRA Programs Can Actually Be An Opportunity for Plan Providers

A few states including California are going into the retirement business. While ordinarily competition in the shape of a state government is cause for concern, I believe that it’s an actual opportunity for both third party…more
| Finance & Banking, Labor & Employment Law

Your Emails Shouldn’t Be Like Hotel California

I write a lot because social media gets my name out there at a much lower cost than hiring a public relations. director. I know because I’ve been there and done that. I write articles, I blog, and I started this crazy website…more
| Finance & Banking, Law Firm Marketing

Merrill’s End of Commission IRAs is going to be a game changer

In a move that will shake the broker-dealer and retirement plan industries, Merrill Lynch’s decided to end its commission individual retirement account (IRA) business to comply with the Department of Labor’s (DOL) new fiduciary…more
| Finance & Banking, Labor & Employment Law, Securities Law

Trek Beyond To The Future of 401(k) Plans

While I prefer Star Wars, I still have an affinity for Star Trek. Gene Roddenberry’s vision of the future was a hopeful one while the science fiction genre prior to his tome had a bleak future. The original series and the series…more
| Business Organizations, Finance & Banking, Labor & Employment Law, Law Firm Marketing, Taxation

$300,000 401(k) Plan Sued* (Note Asterisk)

A Florida optometry practice with a 401(k) plan with only $300,000 in assets is the latest plan to be sued for 401(k) mismanagement, with a newly filed lawsuit accusing the practice of over-investing in alleged “patent troll”…more
| Business Torts, Finance & Banking, Labor & Employment Law, Securities Law

The Problem with “Top-Heavy” Administration

If you know about a thing or two about plan administration, you know about the top-heavy rules. The top-heavy rules generally ensure that the lower paid employees receive a minimum benefit if the plan is top-heavy. A plan is…more
| Finance & Banking, Labor & Employment Law

The Small Stuff Goes A Long Way

For the third time in 11 years, I joined a Synagogue because I’m the wandering Conservative Jew. So a few days ago, a man rang my doorbell. Since it’s election season, I didn’t answer it. I should have because it was a…more
| Law Practice Products & Services

Keep Politics and Your Business Apart

We’re closing in on Election Day and no matter what side you’re on, you have to admit that it’s one of the most divisive elections in recent memory. So I’m shocked when I see professionals post their political diatribes on…more
| Finance & Banking, Labor & Employment Law
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Areas of Practice
  • Business Organizations
  • Labor & Employment Law
  • Taxation
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