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- 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
- Closing Argument: Humble Arithmetic, Common Sense, and Fiduciary Responsibility vs. In-Plan Annuities
The Prudent Investment Adviser Rules
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Tag Archives: litigation
“And Their Beneficiaries”: Annuities, Commensurate Return, and Fiduciary Liability
James W. Watkins, III, J.D., CFP EmeritusTM, AWMA® ERISA Section 404a-1 provides as follows: 2550.404a-1 Investment duties. (a) In general. Sections 404(a)(1)(A) and 404(a)(1)(B) of the Employee Retirement Income Security Act of 1974, as amended (ERISA or the Act) provide, … Continue reading
Posted in 401k, 401k compliance, 401k investments, 401k litigation, 401k plans, 401k risk management, 401klitigation, 404(a), Active Management Value Ratio, AMVR, Annuities, consumer protection, cost-efficiency, defined contribution, DOL, elderly investment fraud, ERISA, ERISA litigation, ERISA, ERISA litigation, fiduciary responsibility, fiduciary prudence, fiduciary duties, fiduciary litigation, 401k, 401k plans, plan sponsor, plan sponsors, fiduciary law, fiduciary, fiduciary compliance, fiduciary duty, fiduciary law, fiduciary liability, fiduciary liability, Fiduciary prudence, fiduciary prudence, fiduciary responsibility, fiduciary standard, Mutual funds, pension plans, plan sponsors, prudence, retirement planning, retirement plans, risk management, wealth preservation
Tagged 401k 401k plans, Annuities, ERISA, ERISA litigation, fiduciary, fiduciary investing, fiduciary law, fiduciary liability, fiduciary responsibility, fiduciary riskmanagement, investing, investor protection, litigation, personal-finance, plansponsor, plansponsors, retirement, retirement planning
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ERISA at the Crossroads?: An Analysis of the 11th Circuit’s Home Depot Decision
I recently posted my initial impressions on the 11th Circuit’s Decision in the Pizarro v. Home Depot 401(k) case: It should be noted that the court granted HD summary judgment even though the court found that there were significant issues … Continue reading
Trust, But Verify: Protecting Against Investment Consultants’ Inherent Conflicts of Interest
James W. Watkins, III, J.D., CFP EmeritusTM, AWMA® The courts have consistently recognized the inherent conflict of interest that exists in the investment industry between investment advisers/consult and clients: “In this conflict of interest, the law wisely interposes. It acts … Continue reading
Posted in 401k, 401k compliance, 401k investments, 401k plans, 401k risk management, 403b, Active Management Value Ratio, cost-efficiency, Cost_Efficiency, defined contribution, ERISA, ERISA litigation, fiduciary, fiduciary compliance, fiduciary duty, fiduciary law, fiduciary liability, fiduciary liability, Fiduciary prudence, fiduciary prudence, fiduciary responsibility, fiduciary risk management, investment advisers, Mutual funds, pension plans, plan advisers, plan sponsors, prudence, retirement plans, risk management
Tagged 401k, 401k compliance, ERISA, fiduciary, fiduciary duty, fiduciary investing, fiduciary law, fiduciary liability, fiduciary loyalty, Fiduciary prudence, fiduciary responsibility, fiduciary risk management, litigation
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The Prudent Investment Fiduciary Rules 