Ary Rosenbaum
The Rosenbaum Law Firm P.C.

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734 Franklin Avenue
Suite 302
Greater New York City Area, New York 11530, United States
Phone: 516.594.1557
Fax: 516-368-3780
Areas of Practice
  • Business Organizations
  • Labor & Employment Law
  • Taxation

The Retirement Advantage buys a TPA as the business further consolidates

As discussed with purchases by Ascensus, there is further consolidation in the third party administration (TPA) business. The Retirement Advantage, Inc. (TRA), purchased Retirement Planning, Inc. (RPI), a Grand Rapids, Michigan…more
 /  Finance & Banking, Labor & Employment Law, Mergers & Acquisitions, Securities Law

Inject life in enrollment meetings

When it comes to oral or written communications, it’s important that you play to your audience. Any communication that is above or below the audience’s comprehension is going to be a missed opportunity to communicate your…more
 /  Finance & Banking, Labor & Employment Law, Securities Law

The easiest mistake most 401(k) plan sponsors make

The road to hell is paved with good intentions and that’s how I feel when it comes sometimes to what a 401(k) plan sponsor does. Yet, there is an error that too many 401(k) plan sponsors do that the Department of Labor (DOL) has…more
 /  Finance & Banking, Labor & Employment Law, Securities Law

Clues That There are Problems With A 401(k) Plan Provider

When it comes to illnesses and diseases, there are usually warning signs out there. Whether you can come out healthy from a debilitating illness or disease is dependent on whether you can tell the warning signs. I’ve seen people…more
 /  Business Organizations, Labor & Employment Law, Finance & Banking, Law Practice Products & Services, Taxation

They can’t see it, since they caused it

A few years back, I had the worst call with a prospective client in the 19 years I have been an ERISA attorney. This 401(k) plan sponsor was like many prospective clients, poor participation and paying too much in fees. The…more
 /  Finance & Banking, Labor & Employment Law, Law Practice Products & Services, Securities Law

Goodbye Lois

I treat people the way I want to be treated and I carry a grudge against the select few who didn’t treat me that well. For 7 years now, I’ve made the Managing Attorney of my old law firm as a punching bag of sorts. Sorry, Lois…more
 /  Law Practice Products & Services

Consider how an advisor uses other plan providers

What makes a good retirement plan financial advisor? Well it takes an attention to detail, an understanding of what the role entails, and a dedication to the plan sponsor client. In addition, what I find is the way a good…more
 /  Finance & Banking, Labor & Employment Law, Securities Law

Connecticut gets it right for Non-ERISA 403(b) plans

One of the things that most people forget about fee disclosure as it pertains to retirement plans is that it’s only applicable to ERISA based retirement plans. So non-ERISA 403(b) plans have no fee disclosure requirements and…more
 /  Education, Finance & Banking, Labor & Employment Law, Securities Law

The real reason why bad funds are in 401(k) plans

Researchers once looked at some data to try to figure out why many poor 401(k) investment choices linger on fund lineups. The researchers identified one fairly clear explanation: a sub-par fund is much more likely to stay on the…more
 /  Finance & Banking, Labor & Employment Law, Securities Law

Mistakes An Employer Should Avoid Starting A 401(k) Plan

I’m a firm believer that you need to get off on the right foot if we start something new. Otherwise, you have tough time recovering. When I talk about getting off on the wrong foot, I always remember wanting to get involved with…more
 /  Business Organizations, Finance & Banking, Labor & Employment Law, Law Practice Products & Services, Taxation

Advisors Advantage - August 2017

Marketing For Plan Providers: What It Can Do And What It Can't. It's not the answer for everything. For retirement plan providers, good marketing is essential. It's so essential that there are marketing gurus out there…more
 /  Finance & Banking, Labor & Employment Law, Law Practice Products & Services, Securities Law

Ascensus Keeps On Buying

As I always said, change in the retirement plan business was going to spur consolidation especially after fee disclosures were implemented in 2012...…more
 /  Finance & Banking, Labor & Employment Law, Securities Law

Marketing For Plan Providers: What It Can Do And What It Can’t

For retirement plan providers, good marketing is essential. It’s so essential that there are marketing gurus out there that work in the retirement plan space to help providers out like Sheri Fitts and Rebecca Hourihan who do top…more
 /  Business Organizations, Labor & Employment Law, Finance & Banking, Law Practice Products & Services, Taxation

Even if you’re doing your job as a plan sponsor, you still can get sued

The fact is that sometimes, bad things happen to good people. That can be said about retirement plans and the good plan sponsors and providers who do their job. No matter how great a job you do, the threat of potential…more
 /  Finance & Banking, Labor & Employment Law

myRA put out to pasture

President Obama’s myRA program was put out to pasture by the Trump administration because of high government cost and low participation…more
 /  Elections & Politics, Finance & Banking, Labor & Employment Law, Securities Law
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