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Expert Witness Affiliate Cited in PlanSponsor

December 9, 2019

Expert Witness Consulting Services Affiliate Neal Shikes of the was recently quoted in PLANSPONSOR about Annuities in relation to passage of the SECURE Act. He points out that under the SECURE Act, annuity offerings to retirement plan participants will have the oversight of the…

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ERISA Claims in Cassell v. Vanderbilt University

October 23, 2019

Expert Witness Consulting Services Affiliate Neal Shikes of the recently wrote an article for PlanSponsor regarding the latest ERISA claims in the Cassell v. Vanderbilt University lawsuit. Neal reports that, “Most of the coverage on Employee Retirement Income Security Act (ERISA) class actions has…

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New FINRA Rules

Regulation Best Interest is a Restyling of FINRA

September 17, 2019

Much has been written about Regulation Best Interest and the updates associated with it. It seemed like a lot to digest so it didn’t seem like waiting for the “dust to settle” was a bad idea. However, the dust did not settle. Many states are…

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Business Decisions are Not Necessarily Fiduciary Decisions

July 3, 2019

The directors of a corporation have a fiduciary duty to their shareholders. Their behaviors must evidence prudence and they cannot profit at the corporation’s expense. With regards to Retirement Plans, Plan Sponsors/Investment Committees must behave in a similar way for the benefit of the plan’s…

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ERISA Class Actions and Plan Sponsors Fail for the Same Reasons

June 26, 2019

Ironically, Employer Sponsors of Retirement Plans and plaintiff attorneys for ERISA Class Actions must have access to the same set of skills to be successful. This is an absolute necessity because there is no specific road-map to follow with regards to fulfilling fiduciary duty or…

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Autopsy of a Certified ERISA Class Action: Beach -v- JPMorgan Chase Bank

June 18, 2019

In a recent ERISA Class Action filing, the United States District Court for the Southern District of New York certified Terre Beach, et al., Plaintiffs -v- JPMorgan Chase Bank, National Association et al., Defendants.  Simply stated, the plaintiffs alleged that the Plan Sponsor breached their…

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