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Recent Posts
- Who’s Overseeing the DOL and EBSA? DOL FAB 2026-01’s Fatal Flaw Is Actually a Fiduciary Trap for Unwary Plan Sponsors
- 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
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Tag Archives: ERISA litigation
The Active Management Value Ratio™3.0: Cost-Efficiency and Compliance With Securities AND ERISA Regulations
FINRA’s current suitability standard is found in Rule 2111 (Rule). The Rule essentially sets up a three-part suitability analysis that broker-dealers and registered representatives must conduct before recommending investment products and/or strategies to the public. The two key standards contained … Continue reading
Fiduciary Litigation 2018: A Pure Heart and an Empty Head Are No Defense
After my recent post, “Are We At A ‘Tipping Point’ in ERISA Fiduciary Litigation,” I received a number of calls and emails from legal colleagues and investment professionals who wanted to discuss the points I raised. In the post, I … Continue reading
Posted in 401k, 401k compliance, 403b, 404c, closet index funds, cost consciousness, DOL fiduciary rule, ERISA, ERISA litigation, fiduciary compliance, fiduciary law, Fiduciary prudence, fiduciary standard, financial planning, Impartial Conduct Standards, investment advisers, investments, pension plans, prudence, retirement plans
Tagged 401k, 401k compliance, 403b, 404c, 404c compliance, Active Management Value Ratio, AMVR, best interests, compliance, Compliance Gauntlet, DOL fiduciary rule, ERISA, ERISA litigation, fiduciary, fiduciary investing, fiduciary law, Fiduciary prudence, fiduciary standard, investment advisers, pension plans, retirement plans, risk management, wealth management
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The Prudent Investment Fiduciary Rules 