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Articles tagged "Drinker Biddle Reath"

What a wave of 401(k) lawsuits tell us about what RIAs really need to worry about
Plaintiff's attorneys have found the soft underbelly of advisors and plan sponsors, but the pitfalls are clear and avoidable

Thursday 10.25.12
Joe Masterson: It's always bugged me that passive investors weren't paying their fair share.

RIAs join move to right a 401(k) wrong: Lopsided plan expenses -- a non-DOL issue
Participants using mutual funds with active management pay for their passively managed brethren; with fiduciary issues being taken for real, this is a problem

Thursday 9.20.12
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
David Witz: It could be fireworks for the RIA community or just another compliance fizzle.

A 401(k) plan dethroning deferred: The DOL-mandated disclosures may not set any legacy palaces on fire near-term
The expected RIA field day and B-D comeuppance may come limping out of the gate; Fidelity has put 17 million 401(k) disclosures in the mail with few follks batting an eye -- with high-balance participants as the possible big exception

Tuesday 8.28.12
Phil Chiricotti: It's a needless requirement that just can't be met.

New DOL rule effectively kills off open-architecture option favored by some big plan participants -- and sets off the 401(k) industry
The wrinkle aimed at self-directed accounts is seen as an unnecessary eleventh hour blindsiding by Fidelity, TD and the CFDD among a broad constituency

Wednesday 6.20.12
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Most Emailed Stories »

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Story » Alan Markarian: We're the largest commercial bank focusing on this need.How U.S. Bank appeared on the scene as an RIA custodian and where it might find love