- “Upon Further Review: Do We Already Have a Universal Fiduciary Standard?” Redux
- Eyes Wide Shut: Why the SEC Will Not and Cannot Adopt a Fiduciary Standard
- A Better Mousetrap?: A New Format for Plaintiffs’ Complaints in ERISA Fiduciary Breach/Excessive Fee Cases?
- Duty of Cost-Consciousness: The Fiduciary “Gotcha” You Think You Understand…But You Probably Don’t
- “Apples to Apples” and Other Investment Return Issues
The Prudent Investment Adviser Rules
Tag Archives: suitability
Back in 2013 I posted an article dealing with the controversy over the DOL’s proposed fiduciary standard. In that article, I suggested that a universal fiduciary standard was already in place that applied to stockbrokers, investment advisers and anyone else … Continue reading
A Better Mousetrap?: A New Format for Plaintiffs’ Complaints in ERISA Fiduciary Breach/Excessive Fee Cases?
My two most recent posts on this blog have dealt with recent decisions involving ERISA fiduciary breach cases alleging excessive fees in 401(k) plans. To avoid a possible false sense of security within the investment industry, the posts also discussed … Continue reading
The DOL recently announced that it will not seek to delay the effective date of the department’s new fiduciary law. Beginning June 9, 2017, anyone providing advice to pension plans and plan participants will be deemed to be a fiduciary, … Continue reading
Facts do not cease to exist because they are ignored. – Aldous Huxley In an earlier post, I discussed the benefits of controlling the controllable aspects of investing. Investors cannot control the performance of the markets. Investment fiduciaries are not … Continue reading
As both a securities/ERISA attorney and a CFP® professional, I realize that I often see things from a different perspective that other in those professions. Some would say that is an advantage, others say it’s a disadvantage. I have definitely … Continue reading
There is currently a lot of speculation on how and if the new Trump administration will attempt to undo the DOL’s new fiduciary rule. Opinions range from an attempt to delay the effective date of the new rule to a … Continue reading
2016 will be remembered by most financial advisers as the year of the fiduciary standard, the year everything changed forever. Some would challenge this statement, claiming that the Trump administration will make sure the DOL’s new fiduciary rule is reversed. … Continue reading