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 PostTim O'Connor's Blog
FINRA 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 […]
Read PostFunctional Fiduciary Liability Under ERISA
There are over one million ERISA-qualified pension plans in the United States, including two hundred thousand defined benefit plans. At one time, defined benefits plans were the predominant vehicle for employer-funded employee retirement plans until the emergence of the defined contribution plan, also known as 401K plans. Defined benefit plans, due to punitive aspects of […]
Read PostFaced with Investment Losses Due to Financial Advisor Misconduct or Negligence? —An Investment Fraud Attorney Can Counsel You and Help Get Rightful Compensation
When you set up an account with a financial advisor, you essentially make a pledge to trust him or her to make the right decisions regarding your monies and investments. In a perfect world, your advisor will enable you to improve and expand your portfolio and you will never need the services of a securities […]
Read PostHave a Question?
Quick Contact
"*" indicates required fields
Recent
Blog Posts
- Securities Litigation
- Securities Brokerage Mediation
- Transfer on Death (TOD) and Death Beneficiary Accounts and the Perils of DIY Estate Planning
- A Successful Will Contest
- SEC Issues Required Investor Disclosures for Variable Annuities and Variable Life Insurance Contracts