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Fiduciary Duty › Investor Protection › Retirement Plan

Faegre Drinker Biddle & Reath LLP

Things I Worry About (9): FINRA Enforcement and Senior Investors

Faegre Drinker Biddle & Reath LLP on

Among other things, FINRA is focusing on services and recommendations by broker-dealers and their registered representatives to retirees, senior investors and investors with diminished capacity. The Report has one part...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

When Your 401(k) Financial Advisor May Have To Be Fired

Ary Rosenbaum - The Rosenbaum Law Firm P.C. on

401(k) financial advisors are often handicapped by the fact that the nature of their position requires them to have an ERISA background when they don’t. It’s hard to fake an ERISA background when you don’t and it’s pretty...more

McDermott Will & Emery

401(k) Plan Sponsors and Fiduciaries Face an Alarming Number of Stable Value Fund and Other Class Action Lawsuits

McDermott Will & Emery on

In the last several months, plaintiffs have filed multiple class action lawsuits against plan sponsors, plan fiduciaries and stable value fund providers. These lawsuits, which have involved 401(k) plans sponsored by large...more

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