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Retirement Plans

Issue name: Retirement Plans
Applicable law/agency: Securities and Exchange Commission (SEC), National Association of Securities Dealers (NASD)

Related topics: Securities, Breach of Fiduciary Duty, Stock Market Losses, Theft, Annuities
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Retirement Services and Plans

Retirement plans can fall victim to fraud or unethical practices by companies, brokers or brokerage houses. The Employee Retirement Income Security Act of 1974 (ERISA) protects money placed in retirement plans by investors. The ERISA outlines minimum standards for pension plans in private industry. Under the ERISA, plans must provide key information to participants, set guidelines for participation, guarantees some payment if plan is terminated and gives participants the right to sue if fiduciary duties are breached. Unethical practices by administrators of retirement plans may include failing to act solely in participants' best interest, using plan assets to benefit people other than participants, failing to follow terms of the plan, failing to properly asses the value of plan assets, or failing to properly monitor plan services.

Retirement Plan Fiduciary Role is Key

The Employee Retirement Income Security Act of 1974 (ERISA) is the federal law that regulates most employee benefit plans in the private sector, including retirement plans. The Department of Labor (DOL) and the Employee Benefits Security Administration (EBSA) enforce many parts of ERISA. Under ERISA, an individual (or organization) is deemed a fiduciary if that person (or entity) exercises any discretionary authority or control over the management of any type of employee benefit plan. read more

Retirement Plan Losses May Be Able To Be Recovered

Pension funds and their trustees have an important role in ensuring the securities that invested are appropriate for that plan. The Employee Retirement Income Security Act of 1974 (ERISA) protects the assets of the American public to ensure funds placed in retirement plans will be available to them when they retire. Requires accountability of plan fiduciaries. read more

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Retirement Plans Jury Verdicts

______ $117,000 plus attorney fees. See Editor's Note. - Fraud Fraud - Sale Of Life Insurance Policies As Retirement Plan - Insurance

______ $204,428 plus interest against all defendants. See Editor's Note. - Insurance Insurance Policy - E.r.i.s.a. Violations - Contract

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Retirement Plans Government Articles

Decide When to Retire

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Retirement Plans News Articles

Area irrigation districts struggle to fund plans - Government - Modbee.com

Scott claims Florida's Retirement System a 'ticking fiscal time bomb' » TCPalm.com

View the Retirement Plans News Articles page here

Retirement Plans Newsfeeds

America’s credit rating in jeopardy

Debt warning is wake-up call

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Retirement Plans Useful Web Sites

SEC Staff Report Concerning Pension Consultants

Anapol Schwartz, Securities Fraud Attorneys

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Retirement Plans Wikipedia

Retirement plans in the United States

View the Retirement Plans Wikipedia page here

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