ERISA-Qualified Pension Plans The past decade has seen an explosion of new investment products being purchased in ERISA-qualified pension plans. These products, including structured products, auction rate notes, private placements, managed money arrangements, and registered investment with advisory relationships have seen ERISA plan trustees tempted by sellers of these products offering commission and/or referral sharing […]
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Tenants-in-Common Investments: An Accident Waiting to Happen
The most common form of tenancy-in-common interests involves ownership interests in real property, with two or more persons possessing undivided interests in the property. Section 1031 of the Internal Revenue Code codified permissible transfers of the taxable basis in an interest in property when exchanged for a like-kind property. If done properly, such a transfer […]
Read PostNew York State Deferred Compensation Plan Beneficiary Designation
The New York State Deferred Compensation Plan is presently administered through Nationwide, and curiously, beneficiary designation forms must be mailed to an address in Ohio, not New York State. The New York State Deferred Compensation Plan Beneficiary Designation form (Form DC-3780-1213) can be accessed at www.nysdcp.com, and information relating to participation in the Plan can […]
Read PostFINRA Investor Alert: IRA Rollover Tips
The Financial Industry Regulatory Authority (FINRA) issued an investor alert entitled The IRA Rollover: Ten Tips to Making Sound Decision. As many Americans face the decision to either keep their retirement nest egg with a former employer plan or to roll invested investments over can be the single most important decision faced by a retiring […]
Read PostBecome a FINRA Arbitrator
The Office of Dispute Resolution of the Financial Industry Regulatory Authority (FINRA) is currently seeking experienced professionals, citizens, and members of the community to serve as arbitrators on FINRA arbitration panels. Notably, the arbitration proceeding is conducted by the Office of Dispute Resolution of the Financial Industry Regulatory Authority, oversees all claims of investors who […]
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