Blog Posts by Sanford Heisler Sharp, LLP

Exclusive Interview with Charles Field: Less Restrictive Open 401k MEPs Relieve Some Burdens for Smaller Employers

Posted June 20th, 2017 by .

Categories: News.

As it appeared on FiduciaryNews.com Charles H. Field is a partner in the San Diego office of national law firm Sanford Heisler Sharp, LLP and co-chair of the firm’s Financial Services Litigation practice. Charles has been practicing in the securities law area for more than 28 years, and his current practice focuses on protecting the […]

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How the DOL’s Fiduciary Rule Affects Ordinary Clients

Posted June 13th, 2017 by .

Categories: News.

As it appeared insurancenewsnet.com By Brian O’Connell The DOL Fiduciary Rule is at least partially now in effect, and, until now, the overarching question has focused how the new rule will impact financial advisors. But hold the phone – shouldn’t the real question be how the new rule impacts the ordinary investor? The answer to […]

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How much will reasonable compensation be come June 9?

Posted June 7th, 2017 by .

Categories: News.

As it appeared on benefitspro.com As deadline comes for fiduciary rule, at this point ‘nobody knows’: plaintiffs’ attorney BY NICK THORNTON Come midnight this Friday, anyone advising IRA account holders, and most of the country’s 401(k) plans, will have to operate under the fiduciary rule’s impartial conduct standards. The June 9 requirement is, of course, […]

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What’s the Immediate Impact of the DOL Fiduciary Rule on 401k Plan Sponsors?

Posted June 6th, 2017 by .

Categories: News.

As it appeared in FiduciaryNews.com by Christopher Carosa, CTFA The time has come for the DOL’s Conflict-of-Interest (a.k.a., “Fiduciary”) Rule to transition from theory to practice. Well, sort of. Although implemented, it won’t be enforced until early next year. Still, although without the teeth of enforcement, it’s formal implementation will have an immediate impact on […]

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The Fiduciary Rule Goes Live at Long Last

Posted June 2nd, 2017 by .

Categories: News.

As it appeared on Barron’s The DOL rule that advisors act in their clients’ best interest is moving forward; widespread adoption is expected. By Cheryl Winokur Munk A few years ago, the fiduciary concept was virtually unknown among many investors. Now, however, it has taken center stage, and many industry watchers believe there’s no turning […]

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In new fiduciary rule FAQs, DOL gives quasi-endorsement of clean shares

Posted May 22nd, 2017 by .

Categories: News.

As it appeared in InvestmentNews.com The DOL also hinted that clean shares may offer an avenue for an additional rule exemption, potentially as a replacement or alternative to BICE By Greg Iacurci The Department of Labor, in a recently released set of frequently asked questions related to its fiduciary rule, gave an endorsement of sorts […]

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Will Retirees Benefit From the Texas Court Ruling That Favors DOL’s Fiduciary Rule?

Posted February 18th, 2017 by .

Categories: News.

As it appeared on The Street More legal evidence is mounting that supports the DOL’s fiduciary ruling, and that should aid U.S. retirement savers. Brian O’Connell The controversial U.S. Department of Labor fiduciary rule, which placed more responsibility on financial advisors to display more transparency on advisory services and fees, took another turn, and it […]

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FINRA Issues Status Report on Arb Task Force Suggestions

Posted February 9th, 2017 by .

Categories: News.

As it appeared on ThinkAdvisor FINRA has taken action on 35 of 51 recommendations made in the Dispute Resolution Task Force’s final report The Financial Industry Regulatory Authority said Wednesday that it has taken action on 35 of the 51 recommendations made in the Dispute Resolution Task Force’s final report, and the self-regulator is “diligently […]

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Dallas court approval of DOL fiduciary rule thwarts Trump’s attempt to block implementation

Posted February 9th, 2017 by .

Categories: News.

As it appeared on Investment News The loss in Texas was the third that industry plaintiffs have suffered in courts around the country and perhaps the one that stung the most. Feb 9, 2017 @ 2:30 pm By Mark Schoeff Jr. A Dallas federal judge’s decision on Wednesday to uphold the Labor Department’s fiduciary rule […]

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Trump Faces Longer Odds To Ax Fiduciary Rule After DOL Win

Posted February 9th, 2017 by .

Categories: News.

As it appeared on Law360 By Carmen Germaine Law360, New York (February 9, 2017, 10:25 PM EST) — The Trump administration will need to build a robust administrative record if it wants to convince the public and courts a full-scale repeal of the new fiduciary rule for retirement account advisers is justified and not merely […]

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Sanford Heisler Sharp, LLP is a public interest law firm representing individuals and groups against corporations and governmental entities. The firm also represents individual citizens when a corporation is committing an act of fraud against the U.S. Government. As a private attorney general, Sanford Heisler Sharp, LLP specializes in employment, Title VII and wage and hour matters; representation of executives and attorneys; qui tam whistleblower cases; consumer fraud; housing discrimination; mass torts; and appellate and complex litigation.

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