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Retirement Plan › Personal Liability

Rivkin Radler LLP

The Family Business – Compensating Family-Employees

Rivkin Radler LLP on

Hope you had a good Thanksgiving Holiday. Some of us probably feel we ate or drank either too much or not enough, watched too much or not enough football, or spent too much time discussing politics and the state of the...more

Foley & Lardner LLP

A Summary of Certain Recent Enforcement and Non-Enforcement Actions

Foley & Lardner LLP on

Sender Primary Liability for Misstatements in PPMs and Prospectuses: Lorenzo v. SEC (No. 17-1077 -- U.S. – 2019). On March 27th, the Supreme Court issued a 1934 Act Rule 10b-5 opinion that will have implications for...more

Poyner Spruill LLP

Best Practices for Retirement Plan Fiduciaries

Poyner Spruill LLP on

If you help manage a retirement plan, you may be a fiduciary under federal law. Fiduciaries have significant legal duties, and may have personal liability for breaching those duties. Below are four best practices that can...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

The Rosenbaum Law Firm Review - January 2017

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

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

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Yes, a Fiduciary was held personally liable

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

In my practice, I always talk about how plan fiduciaries can be held personally liable for any issues regarding their retirement plan. Many plan sponsors just don’t pay any attention to that threat until they see it happen to...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Advisors Advantage - August 2016

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

Why 401(k) Plan Providers Should Push Automatic Enrollment. It just makes sense. We have a retirement crisis in this country thanks to a Social Security program that has too many retirees to pay to, and the death...more

Miles & Stockbridge P.C.

New Fiduciary Rule & Its Impact on Retirement Advice for Plan Sponsors

Miles & Stockbridge P.C. on

After much controversy and criticism, the Department of Labor (DOL) issued a final conflict of interest rule on April 6th (the “Final Rule”) which expands the definition of a fiduciary for an “employee benefit plan,” as...more

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