Ary Rosenbaum – The Rosenbaum Law Firm P.C.

Avoid the leadership vacuum

For any presidential campaign, there usually is an ad about which candidate would you trust to handle the phone call in the wee hours of the morning. You want someone to answer the call instead of it just going to voice mail…more
| Law Practice Products & Services

The TPA Asset Based Fee is a dinosaur

I have a good friend of mine that I’ve known for the last 18 years and he’s one of the most honest people in the 401(k) business and I love him even though he roots for the New York Islanders. He works for a third party…more
| Finance & Banking, Labor & Employment Law

A “Crystal Ball” On Life After The New ERISA Fiduciary Rule

The Department of Labor’s (DOL) new fiduciary rule that is going to go in effect in April 2017 is going to have a profound change in how financial advisors work with their retirement plan clients. It’s unchartered waters, since…more
| Business Organizations, Finance & Banking, Labor & Employment Law, Law Practice Products & Services, Taxation

Plan Fees Have Been Getting Lower

NEPC, LLC published the results of its 11th Annual NEPC Defined Contribution Plan and Fee Survey. Data shows that Defined Contribution (DC) plan record-keeping and investment management fees continue to decline…more
| Finance & Banking, Labor & Employment Law

Experts say Trump won’t delay or kill Fiduciary Rule

Experts claim that a President Donald Trump is likely to let the new Fiduciary Rule go into effect in April without trying to delay it or kill it. If I’m a betting man, I think they’re right…more
| Elections & Politics, Finance & Banking, Labor & Employment Law

Rollovers are going to be a rough business

I have been saying all along that rollovers are going to be a very rough and difficult business after the new Fiduciary Rule gets final. You can just tell by the Department of Labor’s (DOL) stance in their Fiduciary Rule Q&A…more
| Finance & Banking, Labor & Employment Law

Face facts: Retirement Plan Sponsors Only Seek Help When They Need It

When I was at that semi-prestigious law firm many moons ago, I developed this plan review called the Retirement Plan Tune-Up. I’d look at the plan document, plan design, costs, the Fiduciary process, basically anything that the…more
| Finance & Banking, Labor & Employment Law, Securities Law

Coverage is always the biggest problem

When you look at the problems of retirement plans, one that gets short shrift is coverage and that is one of the pillar of qualified plans needed to be fulfilled in order to be a qualified plan. It’s a forgotten rule of…more
| Finance & Banking, Labor & Employment Law

Things That Won’t Help A Retirement Plan Sponsor Limit Their Liability

When I was a teenager, we were told that eating oat bran would lower cholesterol and it didn’t. We’re told that cracking our knuckles will cause arthritis and it doesn’t. We’re told that going outside when it’s cold with wet…more
| Business Organizations, Labor & Employment Law, Finance & Banking, Law Firm Marketing, Taxation

My opinion on Payroll Provider TPAs

If there is one opinion that I have that is argued about many times it is my two cents in the use of the largest payroll providers being in the Third Party Administration (TPA) business. Usually, the people who criticize my…more
| Finance & Banking, Labor & Employment Law, Securities Law

Forfeitures can be a compliance headache

Defined contribution plans such as 401(k) plans have a forfeiture provision if there are contribution in the plan that are not immediately vested. The problem with the forfeiture provision is that they are usually neglected and…more
| Commercial Law & Contracts, Finance & Banking, Labor & Employment Law

Glaring Problems A Plan Sponsor May Not Be Aware Of When They Think Everything is OK

I knew a family member who would never go to the doctor for preventative care. She always reasoned that if she went to a doctor, that meant she was sick. That meant that her goal was avoiding the doctor at all costs. It’s silly…more
| Business Organizations, Finance & Banking, Labor & Employment Law, Law Practice Products & Services, Taxation

Furnish those documents to Plan Participants or Pay Through The Nose

Plan sponsors should understand that under ERISA, plan participants are entitled to certain disclosures and documents. We should all know that a participant is entitled to the summary plan description, summary annual report, a…more
| Finance & Banking, Labor & Employment Law, Securities Law

It’s time to look at your books of business

Broker-dealers are certainly in a bind to comply with the new Fiduciary Rule and one aspect is sending disclosures to IRAs and qualified plans. This may be a good time for all type of plan providers such as brokers, registered…more
| Finance & Banking, Labor & Employment Law, Securities Law

The Fiduciary Rule isn’t the 11th Plague, you can predict that

I’ve heard so many negative things about the impact that the fiduciary rule will have on the retirement plan business, you’d think Irwin Allen made a disaster movie of it. You’d think it was the 11th plague to free the…more
| Finance & Banking, Labor & Employment Law
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Contact

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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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