Results for "401(k)"

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How 401(k) advisers can increase their fees

May 23, 2018

It seems that the race to the bottom for 401(k) and 403(b) advisory fees will not slow down anytime soon. But some plan advisers have found a way not only to halt the trend, but actually increase fees. The first step advisers can take to maintain...

Supreme Court decision likely to prevent brokers from filing class-action lawsuits

May 22, 2018

A Supreme Court decision handed down yesterday will likely curb brokers' ability to band together in lawsuits against broker-dealers to fight perceived wrongdoing in the workplace. In a 5-4 decision, the Supreme Court on Monday ruled that companies...

Oregon auto-IRA success shows national program would 'work well,' advocate says

May 16, 2018

Oregon's auto-IRA program has only been around a few months, but its early success demonstrates a similar framework could work at the national level, a proponent said at a congressional hearing Wednesday. Oregon launched a pilot phase of its...

Philips North America reaches $17 million settlement in 401(k) lawsuit

May 15, 2018

Philips North America has agreed to pay $17 million to settle a lawsuit alleging that the company breached its fiduciary duty in connection with the management of its 401(k) plan. The settlement, which also included nonmonetary provisions, still...

Wells Fargo struggles to attract 401(k) business in wake of banking scandals

May 15, 2018

Wells Fargo & Co.'s retirement plan business has suffered following a string of negative stories related to operations within some units of the broader company, according to 401(k) advisers who use Wells Fargo products and who have had conversations...

LPL closing Worksite Financial Solutions 401(k) platform

May 14, 2018

LPL Financial announced that it is closing Worksite Financial Solutions, a program that helps 401(k) participants and advisers with rollovers from retirement plans, at the end of September. Andy Kalbaugh, managing director and divisional president...

Divorce 2019: How to use IRAs and 401(k)s to ease future alimony planning

May 11, 2018

Under The Tax Cuts and Jobs Act, alimony will not be tax-deductible when paid under divorce and separation agreements executed in 2019 and later. And alimony will be tax-free to recipients. This turnaround from the current treatment of alimony,...

What are the business priorities of elite 401(k) advisers in 2018?

May 9, 2018

The 401(k) advisory business is maturing. Many elite plan advisers with $250 million or more in defined-contribution assets under management have enjoyed great success since the 2008-09 market collapse, as more plan sponsors have focused on...

3 insights on the Financial Engines-Edelman combination and how it might affect you

May 3, 2018

On Monday, Financial Engines announced that it was being taken private by the respected private equity firm Hellman & Friedman for $3 billion in cash, a 30% premium over the pre-announcement closing price. Financial Engines will merge with Edelman...

Wells Fargo wouldn't be the first to push proprietary products on 401(k) plan participants

April 27, 2018

The disclosure of an alleged Labor Department investigation of Wells Fargo sales practices — including those in its retirement-plan services division — is sure to raise a few eyebrows, but should this sort of thing really be a revelation...

401(k) record-keeper consolidation is about to heat up

April 26, 2018

Though there have been a few recent high-profile 401(k) record-keeper acquisitions — think Transamerica's purchase of Mercer's defined-contribution business and Blackstone's acquisition of Aon Hewitt's — there has been a lull in the consolidation....

Labor Department says ESG investments aren't always `prudent'

April 24, 2018

The Trump administration unveiled guidance aimed at the burgeoning socially responsible investment industry that left some investors scratching their heads. The Department of Labor, which oversees retirement-plan funds, published guidelines...

Litigation, scale push private colleges to adopt multiple employer plans

April 23, 2018

Pioneers circled their wagons for mutual protection, and a new trend emerging in the 403(b) space employs a roughly similar tactic. Small and independent, nonprofit private colleges — in search of ways to improve the retirement outlook for...

Principal sued for stacking its TDFs with proprietary funds

April 19, 2018

Principal Financial Group has been sued for allegedly loading its target-date funds with costly and underperforming in-house investments, in the latest example of 401(k) participants targeting financial firms for purportedly enriching themselves...

What a court decision teaches 401(k) advisers about choosing stable-value funds

April 19, 2018

In order to reduce their risk of fiduciary liability, 401(k) plan sponsors often seek to offer an investment menu that satisfies the requirements of ERISA Section 404(c), which eliminates the risk associated with investment choices by plan participants....

401(k) lawsuits being brought more aggressively against retirement plan advisers

April 17, 2018

Retirement plan advisers are increasingly being drawn into 401(k) lawsuits, as litigation creeps down market and plaintiffs' lawyers test out new legal theories to ensnare advisers, according to a panel of litigation experts speaking Monday...

Plan advisers, consultants question value of managed accounts

April 16, 2018

A narrow majority of defined-contribution-plan advisers and consultants say managed accounts provide less benefit to participants than target-date funds, according to a survey by Pacific Investment Management Co. Fifty-one percent of respondents...

Retirement coverage gap, 401(k) rollovers are big emerging threats for plan advisers

April 16, 2018

The retirement-plan coverage gap and rollovers from 401(k) plans to individual retirement accounts have emerged as two of the largest potential threats for retirement plan advisers, the head of the National Association of Plan Advisors said...

401(k) plan participants sue Home Depot over alleged fiduciary breaches

April 13, 2018

Two participants in Home Depot Inc.'s 401(k) plan have sued plan executives alleging that excessive fees and poor-performing investments represented a breach of their fiduciary duties under the Employee Retirement Income Security Act. The participants...

Retirement outlook for millennials

April 13, 2018

And now for something different. Although I spend most of my time writing and speaking about retirement income issues, sometimes I get the chance to address young workers at the beginning of their careers, as I did recently as part of National...

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