Browsing Tag
401(k) Litigation
249 posts
RIAs Top-of-Mind in SEC’s Just-Released 2020 Exam Priorities
The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) today announced its 2020 examination priorities,…
Trader Joe’s is Trader No’s in Latest 401(k) ERISA Lawsuit
Overpaying at Trader Joe’s? Who’d of thought? The popular grocer finds itself under fire for failing to leverage the…
SEC Charges Radio Show Advisor with Defrauding Retirees
Important question—will the passage of the SECURE Act make stories like these more or less prevalent? The Securities…
Fidelity Fees Are Top 401k Litigation Story of 2019
Fidelity always seems to garner attention—whether it’s controversy over supposed quid pro quo or zero-fee fund options. The…
Are 401k Fiduciaries Correctly Benchmarking Their Funds?
If you grew up in the mid to late ‘70s, you know well the many detective movies starring…
Critically Important 401k Documents to Develop and Maintain
CEFEX Perspectives A series of articles on fiduciary practices leveraging the training and experience of CEFEX Analysts. Article…
ERISA Fiduciary Breach Back on Supreme Court Docket
How long is too long to take issue with 401k plan investments offered and/or made by the plan…
MIT Agrees to Hefty Sum for Alleged Fiduciary Breach
Massachusetts Institute of Technology employees and retirees will receive an $18.1 settlement as part of a deal struck…
He Got the Max: Woodbridge’s Shapiro Gets 25 Years for Ponzi Scheme
Former Woodbridge Group of Companies Owner and CEO Robert H. Shapiro was sentenced to 25 years in prison…
Massive Embezzler Offers 401k As Partial Penance
It’s a tactic seen from a number of fraudsters recently; offering up their 401k as restitution when caught.…