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Recent Posts
- May It Please The Court: THE EBSA’s Legally Unsupported, Unfounded, and Bootstrapped Policies Create a Systemic Threat to Plan Participants and Plan Sponsors Alike and Must Be Rejected
- A Call for Senate Oversight Hearings: The Systemic Risk to Plan Sponsors and Plan Participants Created by the EBSA’s Expansive and Legally Unsupported Extrapolations of ERISA Fiduciary Principles
- DOL/EBSA Field Assistance Bulletin 2026-01 Is Not Entitled to Judicial Deference Under The Loper Bright Decision
- Fatally Flawed: Why DOL Administrative Bulletin 2026-01 Will Not, and Should Not, Withstand Judicial Scrutiny
- Terminal Wealth: The True Fiduciary Prudence Paradigm with Regard to the In-Plan Annuity Scam
The Prudent Investment Adviser Rules
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Tag Archives: cost consciousness
Common Sense and Fundamental Fairness: The Matney Case and the Future of 401(k)/403(b) Litigation
By James W. Watkins, J.D., CFP Board Emeritus™, AWMA® I have referenced the Matney v. Briggs Gold of North America (Matney) case1 in a number of recent posts. In my opinion, the significance of Matney lies in the fact that … Continue reading
Posted in 401k, 401k compliance, 401k investments, 401k plan design, 401k risk management, 403b, Active Management Value Ratio, AMVR, consumer protection, cost consciousness, cost efficient, cost-efficiency, Cost_Efficiency, ERISA, ERISA litigation, fiduciary, fiduciary compliance, fiduciary duty, fiduciary law, fiduciary liability, fiduciary liability, Fiduciary prudence, fiduciary prudence, fiduciary responsibility, fiduciary risk management, fiduciary standard, investments, Mutual funds, pension plans, plan advisers, plan sponsors, prudence, retirement planning, retirement plans, risk management, SCOTUS, SEC, wealth management, wealth preservation
Tagged 401k, 401k compliance, 401k fiduciary, compliance, cost consciousness, cost efficient investing, costefficiency, costinefficiency, ERISA, fiduciary, fiduciary duty, fiduciary investing, fiduciary law, fiduciary liability, fiduciary loyalty, fiduciary oversight, Fiduciary prudence, fiduciary responsibility, fiduciary risk management, retirement plans
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The #Northwestern403b Decision: What Next For Plan Sponsors?
This past Monday, SCOTUS issued its much anticipated decision in Hughes v. Northwestern University (#Northwestern403b) The original issue before the Court was whether or not the plan participants had properly plead their case in their complaint. The lower courts had … Continue reading
Posted in 401k, 401k compliance, 401k investments, 403b, Active Management Value Ratio, best interest, compliance, consumer protection, cost consciousness, cost efficient, cost-efficiency, Cost_Efficiency, ERISA, ERISA litigation, fiduciary compliance, fiduciary duty, fiduciary law, fiduciary liability, fiduciary liability, Fiduciary prudence, fiduciary prudence, fiduciary responsibility, investments, wealth management, wealth preservation
Tagged 401k, 401k compliance, 403b, Active Management Value Ratio, cost consciousness, cost-efficiency, ERISA, fiduciary, fiduciary investing, fiduciary law, Fiduciary prudence, fiduciary responsibility, retirement plans
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CommonSense InvestSense ERISA 401(k)/403(b) Litigation
The very essence of leadership is that you have to have a vision. You can’t blow an uncertain trumpet. – Father Theodore Hesburgh, University of Notre Dame Over twenty years ago, I registered the domain name “investsense.com.” Since then, I … Continue reading
The Often Overlooked Fiduciary “Gotcha”: The Fiduciary Duty (and Challenge) of Cost-Consciousness
The vast majority of active managers are unable to produce excess returns that cover their costs.1 I recently posted an article discussing a brilliant complaint that was filed in connection with a new 401(k) excessive fees/breach of fiduciary duties action. … Continue reading
Posted in 401k, 401k compliance, 403b, 404c, 404c compliance, closet index funds, compliance, cost consciousness, DOL fiduciary rule, DOL fiduciary standard, ERISA, evidence based investing, fiduciary compliance, fiduciary law, Fiduciary prudence, fiduciary standard, Impartial Conduct Standards, investment advisers, investments, IRA, IRAs, pension plans, prudence, retirement plans, RIA, RIA Compliance, wealth management, wealth preservation
Tagged 401k, 401k compliance, 403b, 404c, 404c compliance, Active Management Value Ratio, AMVR, best interests, BICE, compliance, cost consciousness, ERISA, evidence based investing, fiduciary, fiduciary investing, fiduciary law, Fiduciary prudence, fiduciary standard, investment advisers, pension plans, retirement plans, suitability, wealth management, wealth preservation
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The Prudent Investment Fiduciary Rules 