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- Terminal Wealth: The True Fiduciary Prudence Paradigm with Regard to the In-Plan Annuity Scam
- Is the DOL/EBSA Trying to Serve Two Masters? ERISA Section 404(a)’s Independent Investigation and Evaluation Requirements and the DOL/EBSA Proposed Rule on Alternative Investments
- Much Ado About Nothing?: The DOL’s New Alternative Investment Rule vs. the Administrative Procedure Act
- Reasserting ERISA’s Private Enforcement Design: A Rebuttal to EBSA’s “Frivolous Litigation” Narrative
- When Income Is Not Enough: Why the Continued Inclusion of In-Plan Annuities May Breach ERISA Duties When Compared to Capital-Preserving Income Alternatives and Strategies
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Tag Archives: fictitious names
The Dangers of Living in the Land of RIA Make-Believe
The Seventh Circuit just ruled that a company could not enforce a mandatory arbitration clause in a contract because the company name in the contract did not match the company name trying to enforce the arbitration clause. So what does … Continue reading
Posted in compliance, fiduciary compliance, RIA, RIA Compliance, RIA marketing
Tagged fictitious names, RIA, RIA compliance, RIA marketing
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The Prudent Investment Fiduciary Rules 