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Retirement Plan › Asset Management › Financial Services Industry

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

UBS Faces Forfeiture Lawsuit

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

UBS has found itself the latest target in the growing wave of ERISA litigation surrounding the handling of forfeitures in 401(k) plans. In Czakoczi v. UBS AG et al., filed in the District of New Jersey, the allegations mirror...more

Troutman Pepper Locke

Texas Federal Court Allows an ERISA Fiduciary Challenge Against Alleged "ESG Investing" Without Any ESG Funds

Troutman Pepper Locke on

On January 10, 2025, in Spence v. American Airlines, a federal district court in Texas ruled that American Airlines (the company) and the committee overseeing its 401(k) plans (the committee) breached their duty of loyalty...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

401GO partners with Mesirow

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

401GO has partnered with Mesirow to provide outsourced 3(38) fiduciary services to its clients. Mesirow’s 3(38) fiduciary services will be integrated into the 401GO retirement platform, making them available to approximately...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Mariner makes a deal by

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

Mariner announced the acquisition of Cardinal Investment Advisors. Mariner’s advisory assets will grow to $550 billion in the first quarter of 2025....more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Never let anyone assume you’re embezzling

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

I know two retirement plan providers in Federal prison for embezzling retirement plan assets. They did the crime, they are doing the time. However, there are times when people haven’t embezzled, but they have done enough...more

Eversheds Sutherland (US) LLP

Videocast: Asset management regulation in 2020 videocast series – DOL: What’s ahead

Eversheds Sutherland (US) LLP on

Over the next year, the Department of Labor (DOL) will likely be issuing guidance in a number of areas that could impact asset managers and financial services companies. In this Bottom Line videocast, Carol McClarnon and...more

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