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

Advisors Need To Offer Education

Advisors ask me all the time of the role of education in participant directed 401(k) plans and it’s an important question. Participant directed 401(k) plans that are governed under ERISA §404(c) offer the plan sponsors liability…more
 /  Finance & Banking, Labor & Employment Law, Securities Law

What To Avoid In Hiring Plan Providers As 401(k) Fiduciaries

A plan sponsor has so many things to do in running a business that they often forget that as a 401(k) plan sponsor, they are also a plan fiduciary. Being a plan fiduciary requires the highest duty of care in equity and law. So…more
 /  Business Organizations, Finance & Banking, Labor & Employment Law, Law Practice Products & Services, Taxation

Find those “missing” plan participants

Missing plan participants are usually only an issue when a retirement plan decides to terminate and wants to avoid dragging out the process and having to file another Form 5500…more
 /  Business Torts, Finance & Banking, Labor & Employment Law, Securities Law

Avoid the headache: Stick to what you know

Over the past 7 years as a solo ERISA practitioner, I always get asked if that’s all I do. It’s not some kind of insult, but a question on whether I also do financial advisory work and/or third party administration work. The…more
 /  Finance & Banking, Labor & Employment Law, Law Practice Products & Services, Securities Law

Plan Providers and Plan Sponsors Can Still Lose By Winning

The news comes trickling in for 401(k) plan providers and plan sponsors beating back class action lawsuits. Many plan providers win their case as defendants because the plan participants fail to convince a judge that the…more
 /  Business Torts, Finance & Banking, Labor & Employment Law, Securities Law

Don’t get out of your level of comfort

I started this law firm about 17 years ago as a side project. It is where I could offer legal services on the side while I did my normal day job. It was an experiment on whether I could go out on my own and I learned during that…more
 /  Finance & Banking, Labor & Employment Law, Law Practice Products & Services, Securities Law

The Truth And Myth Over The 401(k) Investment Policy Statement

When you go to kitchenware, you see so many different types of kitchen tools that you didn’t know existed. They sell pasta forks and cherry pitters and item you don’t really need, but you have to have. When you’re a 401(k) plan…more
 /  Business Organizations, Labor & Employment Law, Finance & Banking, Taxation

Grow your client’s plan assets

If you’re a financial advisor, more assets under management equal more money. It’s pretty simple to me. So that means a financial advisor working in the 401(k) plan space should do their best to making sure that their Plans get…more
 /  Finance & Banking, Labor & Employment Law, Securities Law

Pick a Provider That Is Ahead of The Curve

When it comes to plan sponsors in choosing providers for their retirement plan, I think one rule of thumb is to choose plan providers that are ahead of the curve. What do I mean by ahead of the curve? Retirement plan providers…more
 /  Finance & Banking, Labor & Employment Law, Securities Law

Don’t Let Them Change You

When I started my own National ERISA/ retirement plan law practice more than 7 years ago, it wasn’t easy. It still isn’t easy, but I could no longer see myself working for people who were either too arrogant or too blind to see…more
 /  Finance & Banking, Labor & Employment Law, Securities Law

How And Why Plan Providers Should Help Increase 401(k) Plan Assets

Many years ago, I was an ERISA attorney working for a “producing” third party administrator (TPA) that was very successful because of its in-house registered investment advisory firm advising a good portion of the 401(k) plans…more
 /  Business Organizations, Finance & Banking, Labor & Employment Law, Law Practice Products & Services, Taxation

Should Your 401(k) Plan Go Safe Harbor?

December 1 is pretty quickly going to be upon us, which reminds me that I have some notices to send out shortly. For those in the retirement plan business, we know December 1 marks the date that safe harbor notices have to be…more
 /  Finance & Banking, Labor & Employment Law, Securities Law

Retirement Plan Features Going The Way Of Bell Bottoms and Betamax

The retirement plan business is like pieces of technology; there are features and concepts out there that are going the way of bell bottoms and Betamax. As a retirement plan sponsor, you need to be up to date with the changes…more
 /  Business Organizations, Finance & Banking, Labor & Employment Law, Law Practice Products & Services, Taxation

Using Funds From Only One Family Is An Awful Idea

You must know about the shoemakers’ children and how they go barefoot and have no shoes. In the retirement plan industry, we have retirement plan providers and their employees’ retirement plan…more
 /  Finance & Banking, Labor & Employment Law, Securities Law

You Might Be The Plan Provider That They Don’t Need Right Now

When it comes to Super Hero movies, the best by far is The Dark Knight. It was a gripping drama with well-written characters that just happened to be about super heroes and villains. The movie is full of great, thought provoking…more
 /  Finance & Banking, Law Practice Products & Services, Securities Law
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