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Recent Posts
- Upon Further Review; The 3 X 3 Analysis That Shows Why Prudent Plan Sponsors Will Never Offer Annuities Within Their Plan
- The DOL’s Pizarro v. Home Depot Amicus Brief: Borzi and Gomez Don’t Live Here @ EBSA Anymore
- DOL’s Betrayal of American Workers Sends a Clear Message to American Workers: We Really Don’t Give a Damn About You!
- Implications of Section 78(3) of the Restatement (Third) of Trusts and the Expanding “Knew or Should Have Known” Liability Standard in the Era of AI
- Closing Argument: Humble Arithmetic, Common Sense, and Fiduciary Liability vs. In-Plan Annuities
The Prudent Investment Adviser Rules
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Category Archives: consumer protection
The Future is Now: SCOTUS and Putnam Investments, LLC v. Brotherston
SCOTUS has yet to decide whether to hear the case of Putnam Investments, LLC v. Brotherston. I continue to argue that the ultimate decision in this case could have a significant impact on the future of the 401(k) industry and … Continue reading
Posted in 401k, 401k compliance, 401k investments, 403b, 404c, 404c compliance, Active Management Value Ratio, AMVR, best interest, consumer protection, cost consciousness, cost efficient, cost-efficiency, ERISA, ERISA litigation, fiduciary compliance, fiduciary law, fiduciary liability, Fiduciary prudence, fiduciary standard, investment advisers, investments, pension plans, prudence, retirement plans, wealth management, wealth preservation
Tagged 401k, 401k compliance, 403b, 404c, 404c compliance, Active Management Value Ratio, AMVR, compliance, DOL fiduciary rule, ERISA, fiduciary, fiduciary investing, fiduciary law, Fiduciary prudence, investment analysis tools, pension plans, retirement plans, wealth management, wealth preservation
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Investopedia Top 100 Most Influential Financial Advisor Honor
Honored to be named by Investopedia as one of the Top 100 Financial Advisors for 2019. Unlike a lot of other “top” lists, Investopedia bases its selection largely on criteria such as contributions to online media to educate investors on … Continue reading
Posted in Active Management Value Ratio, AMVR, consumer protection, fiduciary law, fiduciary standard, investment advisers, securities compliance, wealth management, wealth preservation
Tagged Active Management Value Ratio, AMVR, fiduciary, fiduciary investing, fiduciary standard, investment advisers, investment analysis tools, prudence, wealth management, wealth preservation
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ERISA Litigation’s “Next Big Thing?”
I have been receiving a number of requests to perform forensic analyses on ERISA plans that include one or more variable annuities as investment options within the plan. Most of these plans are ERISA 403(b) plans due to the fact … Continue reading
Posted in 401k, 401k compliance, 401k investments, 403b, 404c, 404c compliance, Annuities, best interest, compliance, consumer protection, cost efficient, cost-efficiency, ERISA, ERISA litigation, fiduciary compliance, fiduciary law, fiduciary liability, Fiduciary prudence, fiduciary standard, pension plans, prudence, retirement plans, wealth management, wealth preservation
Tagged 401k, 401k compliance, 403b, 404c, 404c compliance, Annuities, best interests, compliance, ERISA, fiduciary, fiduciary investing, fiduciary law, Fiduciary prudence, fiduciary standard, pension plans, prudence, retirement plans, wealth management, wealth preservation
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“Whoa Nelly”*-Reg BI and That Other “F” Word
*Yes, I am old, Yes, I used to love listening to the late Keith Jackson call college football games. I miss his “whoa Nelly” calls. As the debate over the SEC’s proposed Regulation Best Interest (Reg BI) rages on, people … Continue reading
Posted in AMVR, best interest, consumer protection, cost consciousness, cost efficient, cost-efficiency, fiduciary compliance, prudence, Reg BI, SEC, securities, securities compliance
Tagged best interests, evidence based investing, prudence, securities compliance, suitability, wealth management
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The Georgetown University 403(b) Decision and the Future of 403(b) Fiduciary Litigation
The recent dismissal of the Georgetown University 403b excessive fees/breach of fiduciary action has led some to suggest that such actions are now over. A closer look at the Georgetown decision suggests that that opinion may be premature. I always … Continue reading
Posted in 403b, closet index funds, consumer protection, cost consciousness, cost efficient, ERISA, ERISA litigation, fiduciary compliance, fiduciary law, Fiduciary prudence, fiduciary standard, investments, pension plans, prudence, wealth management, wealth preservation
Tagged 403b, Active Management Value Ratio, AMVR, ERISA, fiduciary, fiduciary investing, fiduciary law, Fiduciary prudence, fiduciary standard, investment advisers, investment analysis tools, pension plans, prudence, wealth management, wealth preservation
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Why the SEC Will Never Enact a Meaningful Fiduciary Standard
I continue to enjoy reading analyses on the SEC’s BI proposal. These are analyses from industry leaders, people who I greatly admire and respect. When people ask my opinion, I just tell them it is all just a cruel game, that … Continue reading
Posted in closet index funds, consumer protection, cost consciousness, cost efficient, fiduciary compliance, fiduciary law, Fiduciary prudence, fiduciary standard, prudence, SEC
Tagged compliance, fiduciary, fiduciary investing, fiduciary law, Fiduciary prudence, fiduciary standard, SEC, securities compliance, suitability, wealth management, wealth preservation
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