John Finley

Jan 19, 2024 | mondaq.com | John Cannon |John Finley |Doreen Lilienfeld |Gillian Emmett Moldowan

More than five years after the Fifth Circuit Court of Appeals decision to vacate the Department of Labor's (DOL) 2016 fiduciary rule, the DOL has proposed a new rule that, once again, attempts to re-define when financial organizations are so-called "investment advice fiduciaries" subject to ERISA. The proposed rule will be of particular interest to broker-dealers, banks, investment advisers and insurance firms and their agents that interact with retail retirement clients.

Nov 8, 2023 | jdsupra.com | Matthew Behrens |John Cannon III |John Finley

More than five years after the Fifth Circuit Court of Appeals decision to vacate the Department of Labor’s (DOL) 2016 fiduciary rule, the DOL has proposed a new rule that, once again, attempts to re-define when financial organizations are so-called “investment advice fiduciaries” subject to ERISA. The proposed rule will be of particular interest to broker-dealers, banks, investment advisers and insurance firms and their agents that interact with retail retirement clients.

Nov 7, 2023 | lexology.com | John Finley |Doreen Lilienfeld |Gillian Emmett Moldowan |Matthew Behrens

More than five years after the Fifth Circuit Court of Appeals decision to vacate the Department of Labor’s (DOL) 2016 fiduciary rule, the DOL has proposed a new rule that, once again, attempts to re-define when financial organizations are so-called “investment advice fiduciaries” subject to ERISA. The proposed rule will be of particular interest to broker-dealers, banks, investment advisers and insurance firms and their agents that interact with retail retirement clients.

May 3, 2022 | jdsupra.com | John Finley

Dec 25, 2021 | sdjewishworld.com | John Finley