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Retirement Plan › 401k › Participant-Directed Plans

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Investment education is all about a process

Ary Rosenbaum - The Rosenbaum Law Firm P.C. on

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

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

A self-directed brokerage account is still something to be wary of

Ary Rosenbaum - The Rosenbaum Law Firm P.C. on

I’m wary of self-directed brokerage account because I still concerned about the fiduciary issues, as well as the fact that I still don’t think participants do better with them in terms of financial growth....more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

401(k) Litigation: The Next Frontier

Ary Rosenbaum - The Rosenbaum Law Firm P.C. on

With the proliferation of litigation against 401(k) plans, it should be noted that it focuses on only one thing: cost. Litigation surrounding share classes, proprietary funds, and overall plan expenses is all about plan...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

The Problem With Choice in 401(k) Plans

Ary Rosenbaum - The Rosenbaum Law Firm P.C. on

In life, giving people a wide variety of choices is a good thing. However, when it comes to daily valued 401(k) plans, too many choices isn’t a good thing. It sounds counter-intuitive, but too many choices offered to plan...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Advisors Advantage - May 2016

Ary Rosenbaum - The Rosenbaum Law Firm P.C. on

The Struggles Of Being A Retirement Plan Provider And How To Manage It. What you have to deal with. Any good retirement plan financial advisor will tell you that relationships in the retirement plan business mean...more

Proskauer Rose LLP

The ERISA Litigation Newsletter - April 2016

Proskauer Rose LLP on

Editor's Overview - This month we feature three key developments. First, we review the U.S. Supreme Court's decision in Gobeille v. Liberty Mut. Ins. Co., 136 S. Ct. 936, 947 (2016) wherein the Supreme Court held that a...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Offering an education is a must for Advisors

Ary Rosenbaum - The Rosenbaum Law Firm P.C. on

I had a few advisors who asked me about offering investment education as it pertained to the fiduciary rule, but it’s clear that the Department of Labor wants it offered when it made a carve out to the final rule to allow for...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Offering Self Directed Brokerage Accounts in a 401(k) Plan is a Bad Bet

Ary Rosenbaum - The Rosenbaum Law Firm P.C. on

I love Las Vegas and I hate to gamble, which explains why I haven’t been to Atlantic City since 1995. I love the sights, sounds, the entertainment, the food, and everything but gambling. I hate gambling because I don’t like...more

Dechert LLP

401(k) Plans—Potential Commodity Pool Issues in the United States

Dechert LLP on

Under the rules of the Commodity Futures Trading Commission (“CFTC”), certain collective investment vehicles and other entities that, directly or indirectly, invest in “commodity interests” may be “commodity pools” whose...more

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