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

There is no such thing as an Assembly Line Retirement Plan

Henry T. Ford is considered the father or the pioneer of the modern day assembly line of manufacturing. His development of the Model T and its way of manufacturing is considered one of the great developments in 20th-century…more
 /  Finance & Banking, Labor & Employment Law

Plan Sponsors Need To Vet Any Potential TPA

A common mistake made by a plan sponsor is to hire a Third-Party Administrator (TPA) that was recommended by a financial advisor based on low fees. One of the most important things that a plan sponsor needs to do is hire a…more
 /  Business Organizations, Finance & Banking, Labor & Employment Law, Law Practice Products & Services, Taxation

Using A Payroll Provider As Your 401(k) TPA Is An Awful Idea

I’ve been a broken record for the past 8 years, I’ve been saying that by having the top two payroll companies (ADP and Paychex) handle a 401(k) plan’s administration, a plan sponsor may have a whole host of surprises that aren’t…more
 /  Business Organizations, Finance & Banking, Labor & Employment Law, Law Practice Products & Services, Taxation

I avoid it when it doesn’t look right, you should too

I live in an unincorporated village on the south shore of Nassau County and the elected Board of Education has this problem that doesn’t want to talk about and it’s called nepotism. Three out of the seven members have a child…more
 /  Finance & Banking, Labor & Employment Law, Securities Law

Sometimes, change is anyone’s guess

An advisor asked me a very interesting question that had me thinking: since a good chunk of what an advisor does is helping a plan sponsor minimize their fiduciary duty, is it a proper plan expense to use assets to pay for…more
 /  Finance & Banking, Labor & Employment Law, Securities Law, Taxation

The DOL Rolls Over, Fiduciary Rule Effectively Dead

The Department of Labor (DOL) said it’s not going to pursue enforcement actions against investment advice fiduciaries “who are working diligently and in good faith to comply” with requirements of the fiduciary rule that was…more
 /  Administrative Law, Elections & Politics, Finance & Banking, Labor & Employment Law, Securities Law

A Plan Sponsor Needs A Retirement Plan “Dentist”

More than twenty years ago, there was a medical report that dental plaque could cause heart disease. I thought it was some sort of dental conspiracy to increase revenue as fluoridated water and other forms of dental hygiene…more
 /  Business Organizations, Finance & Banking, Labor & Employment Law, Law Practice Products & Services, Taxation

Retirement Plan Advisors Advantage - May 2018

Free Advice In Dealing With A TPA's Business Challenges. It's free. I always joke that when my wife discusses to people what I do as an ERISA attorney, she claims she has no idea. Imagine if I was a third party…more
 /  Finance & Banking, Labor & Employment Law, Law Practice Products & Services, Securities Law

That 401(k) Conference, Citi Field, June 7, 2018 Tentative Agenda

Tentative agenda for That 401(k) Conference, Citi Field, June 7, 2018. Sign up at http://that401ksite.com/that-401k-conference/…more
 /  Business Organizations, Finance & Banking, Law Practice Products & Services, Taxation

Free Advice In Dealing With A TPA’s Business Challenges

I always joke that when my wife discusses to people what I do as an ERISA attorney, she claims she has no idea. Imagine if I was a third party administrator (TPA). Being a TPA is the most difficult job in the retirement plan…more
 /  Business Organizations, Finance & Banking, Labor & Employment Law, Law Practice Products & Services, Taxation

Yesterday’s plan participants in today’s world

When I first started in the 401(k) business, investment selection by participants was still being predominantly done by paper and phone. The first websites I encountered dealing with 401(k) plans gave the participant their…more
 /  Finance & Banking, Labor & Employment Law, Securities Law

The Fiduciary That Buys The Groceries

When the great Bill Parcells was the head coach of the New England Patriots, he got into a tiff with owner Robert Kraft because Parcells wanted more of a say in the personnel decision-making process. Parcells famously said:…more
 /  Finance & Banking, Labor & Employment Law, Securities Law

The Devil Is In The Detail For The Plan Sponsor

One of the great idioms out there is that “the devil is in the detail.” It means that there is a catch in the details, which means something might be simple at first look, but it’s not. Plan sponsors need to know the devil in…more
 /  Business Organizations, Finance & Banking, Labor & Employment Law, Law Practice Products & Services, Taxation

When it comes to theft, the fiduciary vs. settlor function debate is meaningless

A friend of mine called me up a few weeks back and was telling me a story how he had a debate with Jeff Richie from Vantage Benefits at a conference a few years back. Richie claimed he had some writing from the Department of…more
 /  Business Torts, Finance & Banking, Labor & Employment Law, Securities Law

Graff Calls For DOL E-Delivery Change and I Love It

I used to love paper until I had a 5-foot flood in the downstairs of my home during Hurricane Sandy. When you have a file cabinet with files sitting outside your house with files that you hope dry over 6 months, you learn to…more
 /  Finance & Banking, Labor & Employment Law, Securities Law
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