Ary Rosenbaum – The Rosenbaum Law Firm P.C.

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

The Rosenbaum Law Firm Review - January 2017

Concepts You May Not Be Aware Of As A 401(k) Plan Sponsor. Quite a few things out there. As a child, I was never taught the birds and the bees. I was actually handed some cartoon book from my parents when I was…more
| Business Torts, Civil Procedure, Finance & Banking, Labor & Employment Law, Securities Law

Schwab is the next defendant in Which Plan Provider’s 401(k), we should sue

Charles Schwab Corporation is the latest plan provider whose 401(k) is the subject of a class action Employee Retirement Income Security Act (ERISA) lawsuit. It’s starting to feel like a game show…more
| Business Torts, Finance & Banking, Labor & Employment Law

The backbench is your future

In British-style parliamentary systems, a backbencher is a member of parliament who doesn’t hold government office and isn’t a spokesperson of the opposition. They’re essentially a rank and file member. However, the backbencher…more
| Finance & Banking, Labor & Employment Law, Law Practice Products & Services
Showing 1-15 of 758 Results
|
View per page
Page: of 51
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
This profile may constitute attorney advertising. Prior results do not guarantee a similar outcome. Any correspondence with this profile holder does not constitute a client/attorney relationship. Neither the content on this profile nor transmissions between you and the profile holder through this profile are intended to provide legal or other advice or to create an attorney-client relationship.

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:

Sign up to create your digest using LinkedIn*

*By using the service, you signify your acceptance of JD Supra's Privacy Policy.

Already signed up? Log in here

*With LinkedIn, you don't need to create a separate login to manage your free JD Supra account, and we can make suggestions based on your needs and interests. We will not post anything on LinkedIn in your name. Or, sign up using your email address.
×