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- 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
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Tag Archives: fiduciary investing
“Tipping Off” Potential ERISA Fiduciary Violations – Part 1
As a former catcher, I always enjoyed watching a pitcher to see if he was “tipping off” his pitches so our team could gain an advantage. As an ERISA attorney, one of the services I provide to ERISA consulting clients … Continue reading
Posted in 403b, Annuities, compliance, DOL fiduciary standard, ERISA, evidence based investing, fiduciary compliance, fiduciary law, pension plans, retirement plans, wealth management, wealth preservation
Tagged 401k, 401k compliance, 403b, Active Management Value Ratio, Annuities, best interests, ERISA, fiduciary, fiduciary investing, fiduciary law, fiduciary standard, pension plans, retirement plans, suitability, wealth management, wealth preservation
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ERISA and Modern Portfolio Theory – Prudence Per Footnote 8
As an ERISA attorney and compliance consultant, I often hear plan sponsors and service providers attempt to justify an imprudent investment option by claiming that they are simply complying with the DOL’s and the courts’ adoption of Modern Portfolio Theory … Continue reading
Posted in 401k, 401k compliance, 401k investments, 404c, 404c compliance, compliance, DOL fiduciary standard, evidence based investing, fiduciary compliance, fiduciary law, investment advisers, investments, pension plans, retirement plans, wealth management
Tagged 401k, 401k compliance, 404c, 404c compliance, compliance, ERISA, fiduciary, fiduciary investing, fiduciary law, modern portfolio theory, pension plans, retirement plans, RIA risk management, securities compliance, wealth management
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401(k) Alert: Protecting Plan Sponsors and Plan Participants Under the BICE Exemption
Most of the litigation against 401(k) plans has focused on excessive fees and/or the poor quality of investment options within a plan. With the effective date of DOL’s new fiduciary standard and the Best Interests Contract exemption (BICE) coming in … Continue reading
Posted in 401k, 401k compliance, 401k investments, 404c, 404c compliance, BICE, compliance, DOL fiduciary standard, ERISA, fiduciary compliance, fiduciary law, investment advisers, investments, IRAs, pension plans, retirement plans, wealth management, wealth preservation
Tagged 401k compliance, 404c, 404c compliance, best interests, BICE, compliance, ERISA, fiduciary, fiduciary investing, fiduciary law, fiduciary standard, investment advisers, pension plans, retirement plans, suitability, wealth management, wealth preservation
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The Two Minute ERISA Fiduciary Liability Risk Management Challenge
I love fiduciary law. In a world with so many legal uncertainties, indecision and “weasel words,” fiduciary law is demanding and direct. The Restatement (Third) of Trusts, specifically Section 90, the Prudent Investor Rule, sets out the basic fiduciary requirements. … Continue reading
Posted in 401k, 401k compliance, 401k investments, 404c, 404c compliance, compliance, ERISA, evidence based investing, fiduciary compliance, fiduciary law, investment advisers, investments, pension plans, retirement plans, RIA, RIA Compliance, securities compliance, wealth management
Tagged 401k, 401k compliance, 404c, 404c compliance, Active Management Value Ratio, compliance, ERISA, evidence based investing, fiduciary, fiduciary investing, fiduciary law, investment advisers, investment analysis tools, pension plans, retirement plans, RIA, RIA compliance, RIA risk management, securities compliance, wealth management
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To BICE Or Not To BICE, That Is the Question.
I read an interesting article today on LinkedIn Pulse entitled “401(k) Opportunity, Is That You ?” by Rebecca Hourihan. https://www.linkedin.com/pulse/401k-fiduciary-opportunity-you-rebecca-hourihan-aif-ppc-?trk=mp-reader-card Ms. Hourihan addressed the same question that several of my plan sponsor fiduciary clients have asked me – what are the potential … Continue reading
Posted in 401k, 401k compliance, 404c, 404c compliance, compliance, ERISA, fiduciary compliance, fiduciary law, investments, pension plans, retirement plans, wealth preservation
Tagged 401k, 401k compliance, 404c, 404c compliance, compliance, ERISA, fiduciary, fiduciary investing, fiduciary law, investment advisers, pension plans, retirement plans, RIA risk management, risk management, securities compliance, wealth preservation
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Going Forward: Quantifying “Best Interest,” Reasonable Compensation and Suitability for Investment Professionals
With the DOL’s recent release of their new fiduciary rule (Rule)and the related Best Interest Contract Exemption (BICE), there has been an increased interest in the concepts of “best interest” and prudence, two of the key concepts involved with both … Continue reading
Posted in 401k, 401k compliance, 401k investments, 404c, 404c compliance, compliance, fiduciary compliance, fiduciary law, investments, pension plans, retirement plans, wealth management, wealth preservation
Tagged 401k compliance, 404c, 404c compliance, compliance, ERISA, fiduciary, fiduciary investing, fiduciary law, FINRA, investment advisers, investment analysis tools, pension plans, retirement plans, suitability, wealth management, wealth preservation
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“Best Interest,” BICE and Class Action Targets
Much has been written about the Department of Labor’s (DOL) new fiduciary rule and the accompanying Best Interest Contract Exemption (BICE). Several writers have suggested that the group that will benefit the most from the rule and BICE are class … Continue reading
Posted in 401k, 401k compliance, 401k investments, 404c, 404c compliance, compliance, fiduciary compliance, fiduciary law, investments, pension plans, retirement plans, securities compliance, wealth management, wealth preservation
Tagged 401k, 401k compliance, 404c, 404c compliance, compliance, ERISA, fiduciary, fiduciary investing, fiduciary law, investment advisers, investment analysis tools, pension plans, retirement plans, securities compliance, suitability, wealth management, wealth preservation
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“Best Interest,” BICE and Liability Exposure for Plan Sponsors
I recently posted an article in various LinkedIn groups that addressed the need for various parties to address their duties and potential liability under the DOL’s new fiduciary standard. My comment that accompanied the post was Based on my personal … Continue reading
Posted in 401k, 401k compliance, 401k investments, 404c, 404c compliance, compliance, fiduciary compliance, fiduciary law, investments, pension plans, retirement plans, wealth management
Tagged 401k, 401k compliance, 404c, 404c compliance, compliance, Compliance Gauntlet, ERISA, evidence based investing, fiduciary, fiduciary investing, fiduciary law, investment analysis tools, pension plans, retirement plans, suitability, wealth management
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Making BICE Meaningful – Reality vs. Illusion
I have had a lot of people ask me what I thought of the DOL’s new fiduciary standard. While I think there are some good points to the new fiduciary standard, in many ways the new standard reminded me of … Continue reading
Posted in 401k, 401k compliance, 404c, 404c compliance, compliance, fiduciary compliance, fiduciary law, investments, pension plans, retirement plans, wealth management
Tagged 401k, 401k compliance, 404c, 404c compliance, compliance, Compliance Gauntlet, ERISA, fiduciary, fiduciary investing, fiduciary law, FINRA, investment advisers, pension plans, retirement plans, RIA compliance, securities compliance, suitability
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And Now the Fiduciary Radar Shifts to …
Now that the DOL has released its new fiduciary rule, advisers are wondering what could be “the next big thing” drawing upon the new rule. Canada has recently announced that it would conduct a sweeping investigation of the abusive marketing … Continue reading
Posted in 401k, 401k investments, 404c, 404c compliance, evidence based investing, fiduciary compliance, fiduciary law, investments, pension plans, retirement plans, RIA Compliance, wealth management, wealth preservation
Tagged 401k, 401k compliance, 404c, ERISA, evidence based investing, fiduciary, fiduciary investing, fiduciary law, investment advisers, investment analysis tools, pension plans, suitability, wealth management, wealth preservation
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The Prudent Investment Fiduciary Rules 
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