Articles tagged "Sheldon Geller"


Sheldon Geller: It is the plan sponsor, not Fidelity, who makes the fiduciary decision as to whether to offer the investment advice service to their employees.

Delta employees sue Fidelity for 'illegal kickbacks' from Financial Engines
The case may turn on whether Fidelity, by acting as recordkeeper and administrator, qualifies as a fiduciary and therefore breached its duty as it accepted Financial Engines' advice fees

Wednesday 7.6.16
Sheldon Geller: Fee-only advisors have, by their choice of compensation, eliminated most, if not all, conflicts inherent in the marketplace.

How RIAs can rule the 401(k) realm by becoming advocates for plan sponsors -- and start by eliminating eight marketplace conflicts
Brokers can still claim an edge with their knowledge of DC administrative matters but that's a bowling pin ready for the toppling

Thursday 2.14.13
Readers most 'liked' a May story that featured an enigmatically unpeopled office (think IPO cash) and some old fashioned gumshoe reportage.

RIABiz' 10 most-read stories of 2012: What fascinated you and why
Facebook, fallout from DOL's new 401(k) regs and happenings at Advizent, Addepar and Windhaven were reader catalysts

Wednesday 12.26.12
Sheldon Geller: Plan fiduciaries were deemed to have violated their duty of prudence by selecting mutual funds whose fees were based on the retail share class rather than the institutional share class.

What RIAs must know about hidden, and excessive, fees in serving as fiduciaries to a 401(k) plan
With lawsuits and enforcement actions mounting, and new rules in place, what DOL wants is not all that abstract or theoretical anymore

Monday 10.8.12
Sheldon Geller: Engaging non-fiduciary consultants and relying on their advice is not evidence of prudence.

9 things advisors to 401(k) plans must do to keep clients out of hot water
A wave of fiduciary lawsuits is creating new plan best practices

Friday 7.13.12
John Carnevale: This makes us an 800-pound gorilla for what we do.

Geller Group finds its white knight within the Focus Financial family
The DOL investigation goes on but -- undeterred -- a Massachusetts company takes the TPA under its wing

Thursday 11.4.10
Alan Pfeffer: Not only have there been no findings; there have been no allegations.

As DOL investigation continues, Geller Group says it is executing the final stage of a four-year succession plan
Sheldon Geller and Manny Ehrlich have been grooming Alan Pfeffer to take over the 401(k) company since selling a big stake to Focus Financial in 2006, according to the firm's new leader.

Thursday 7.8.10

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