News & Analysis as of

Employee Retirement Income Security Act (ERISA) Fraud Department of Labor (DOL)

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

The Fraud That Is Matt Hutcheson

I’ve been in the retirement plan business for 27 years, and during that time, I’ve seen the best and the worst it has to offer. But without a doubt, the most despicable person I’ve encountered is Matt Hutcheson. Matt paraded...more

Davis Wright Tremaine LLP

Broker Dealer Regulatory Digest - April 2024 - 2

Securities and Exchange Commission. Cryptocurrency regulation. On April 23, 2024, two groups representing the cryptocurrency industry sued SEC over its expanded dealer definition announced earlier this year. The Blockchain...more

Davis Wright Tremaine LLP

Broker Dealer Regulatory Digest - November 2023

Editor's Note - The following newsletter provides a roundup summarizing enforcement actions, guidance, rulemakings, and other public statements taken by a federal and/or state financial services regulatory agency,...more

Pillsbury Winthrop Shaw Pittman LLP

DOL Ups Its Game on Cybersecurity Program Oversight, Begins Audit Initiative

In light of a new DOL audit initiative and increasing cybersecurity threats to ERISA benefit plans, ERISA plan sponsors and fiduciaries should be prepared to answer some important questions: Do the cybersecurity programs of...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Vantage defaults in first case decision

It didn’t take long for the first decision in a lawsuit against vantage Benefits and its owners when they defaulted. A default judgment was handed down by Judge David C. Godbey of the U.S. District Court for the Northern...more

Morrison & Foerster LLP - Structured Products

Structured Thoughts: News for the financial services community, Volume 7, Issue 8

Brexit and Structured Products: A Framework for Considering Disclosures - The U.K.’s recent referendum to withdraw from the European Union has affected virtually all segments of the financial industry. The structured...more

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