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Content tagged "Jason Roberts"



Thomas Clark: There's no liability for Fidelity, but it just doesn't look good for them.

Fidelity Investments wins huge in the 'biggest 401(k) case in decades' -- but bearing battle scars
Boston 401(k) giant is able to reverse prior judgement related to fees in landmark Tussey v. ABB

Thursday 3.20.14
Phyllis Borzi: We're troubled by this and employers are having a hard time finding the documents they're looking for.

Phyllis Borzi tightens the noose on 401(k) providers that flout DOL disclosure, not without critics
The idea is to have a de facto big red arrow pointing to key disclosures on revenue sharing but it'll add to the verbiage surplus

Tuesday 3.11.14
Louis Harvey: We are seeing naked fear.

Why the 'naked fear' from a Yale law professor's letters to 401(k) plan sponsors is still present
The threatening, finger-pointing nature of the epistles drew the blood, the lack of a remedy to the attack from New Haven keeps the wound from healing

Thursday 8.1.13
Fred Reish: The object isn’t to punish people who really wanted to do the right thing.

Erring 401(k) plan advisors seek do-overs from DOL to ward off potentially crippling fines
A proposal from leading ERISA attorneys would let RIAs say mea culpa on misinterpretations and technical fouls in the wake of new fee disclosure rules

Monday 10.22.12
Steve Sansone: Advisors can differentiate themselves to decision makers and consequently be in a great position to take over a 401(k) plan.

How IRS rule changes may bring an obscure retirement plan into prominence
The number of cash balance plans, a boon to high-earners, are growing 20% annually versus three percent for 401(k) plans

Tuesday 10.16.12
Ray Lucia: I removed the slides that are in question from my seminar presentation.

With SEC coming down hard, TV and radio star RIA principal in San Diego makes his case to listeners
The commission says Ray Lucia back-testing is questionable but some high-profile defenders take his side

Wednesday 9.19.12
Phil Chiricotti: The DOL went off the reservation...They backed off and damaged their credibility.

What to make of DOL's backtrack after John Kerry, Fidelity Investments and the rest of the riled 401(k) industry cried foul
The policy reversal on on self-directed accounts is a win for white-collar workers but the agency's mandating-by-bulletin was equally troubling to some observers

Wednesday 8.1.12
Lou Harvey: The rules on the participant side are a joke.

After years of DOL bluster, new 401(k) rules appear to make RIAs' low expenses look higher than those of brokers
It's the same old problem of mutual fund-paid fees arriving by tunnel and therefore getting a pass in disclosures; DOL no-comments the issue

Monday 6.18.12
Jason Roberts: I’m seeing a lot  of unintended consequences…

Fidelity tries out new DOL-influenced 401(k) fee disclosures on clients -- and gets plenty of response
The retirement king is putting it out there ahead of most competitors, but there is some resentment that Fidelity failed to warn advisors

Tuesday 6.12.12
Rick Meigs: These plans are knowledgeable, well-informed and have sufficient leverage to compel change.

What led to Vanguard allowing its 401(k) plan sponsors to shop around for non-Vanguard target-date funds
Despite the new choices available to plan sponsors, Vanguard believes clients won't stray -- but industry observers are not so sure

Tuesday 6.5.12
Jason Roberts: The broker wants to make sure the advisor isn't taking the clients to lunch.

Why brokers from Nationwide, LPL, Merrill Lynch and others are giving RIAs a cut of their 401(k) action
RIAs and brokers alike are wary of the fox-in-hen-house effect but DOL is creating strange bedfellows

Tuesday 5.29.12

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Most Emailed Stories »

Mike Alfred: If you're hoarding all of this data and won't help wholesalers to help everyone get better they won't work with you.
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BrightScope sees sales soar as formerly adversarial big 401(k) companies buy data about their own business

Patrick Sheppard: Getting back into the retail world and getting back into the high-net worth world was more fulfilling than dealing with institutions on a global basis.
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Why a $500-million RIA Rt. 495 start-up hired a no-book ex-BNY Mellon Asset Management CFO

Tom Valverde's hire is part of Fidelity's new 'geographical' sales strategy.
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Fidelity Institutional bags Pershing's RIA sales chief and gives him a lesser title

Charles Goldman: We bought the firm hoping the CEO would be there.
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Charles Goldman speaks from the CEO Summit hotel about what he didn't see coming at AssetMark and how it changed his life

Fidelity's alt investments brain trust: 'It used to be three guys and a dog in Greenwich.'
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Fidelity, Goldman Sachs and Morningstar call 16 top reporters to New York to define the RIA alts problem -- and to explain how their Dream Team solves it


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