Investment Issues (Including Self-Directed)

560 topics in this forum

1. Forcing a Participant to sell investments.

   By katieinny, November 25, 2002
   • 39 replies
   • 4.8k views
   • 
   • IRC401
   • December 20, 2002

2. In LaRue: Supreme Court Upholds Participant's Damages Claim

   By Dave Baker, February 20, 2008
   • 38 replies
   • 8.6k views
   • 
   • Guest
   • March 1, 2008

3. Margin Investments

   By david rigby, January 30, 2002
   • 38 replies
   • 16.3k views
   • 
   • CaptainObvious
   • January 17, 2015

4. Financial Advisor = Fiduciary?

   By Santo Gold, October 20, 2005
   • 24 replies
   • 7.9k views
   • 
   • Don Levit
   • January 25, 2006

5. Allowable Investment?

   By K-t-F, November 23, 2005
   • 22 replies
   • 4.5k views
   • 
   • Kirk Maldonado
   • December 1, 2005

6. Has anyone seen a lawsuit about prudent selection of investment funds unrelated to expenses or self-dealing?

   By Peter Gulia, August 29, 2017   

   • erisa; prudence; investment alternative
   • 21 replies
   • 1.9k views
   • 
   • MoJo
   • September 12, 2017

7. Separate Account for Owner Only

   By ERISA13, February 9, 2010
   • 20 replies
   • 5.6k views
   • 
   • ombskid
   • June 24, 2013

8. Life insurance as qualified plan investment

   By Guest Sieve, April 28, 2009
   • 20 replies
   • 4.5k views
   • 
   • Below Ground
   • June 4, 2009

9. Is calling a stable-value account a “fund” misleading?

   By Peter Gulia, October 15, 2018   

   • communications; stable-value
   • 19 replies
   • 1.5k views
   • 
   • MoJo
   • October 17, 2018

10. plan purchasing real estate

    By Guest lip, June 13, 2008
    • 19 replies
    • 3.9k views
    • 
    • J Simmons
    • June 20, 2008

11. Diversification question for participant directed DC plan

    By mal, March 20, 2003
    • 19 replies
    • 3.6k views
    • 
    • mal
    • April 25, 2003

12. 3(21) and 3(38) fiduciary services

    By Bird, February 22, 2018
    • 19 replies
    • 2.9k views
    • 
    • TPApril
    • December 1, 2021

13. new American Funds pricing for RKD

    By Bird, August 16, 2017
    • 18 replies
    • 1.8k views
    • 
    • austin3515
    • August 23, 2017

14. Brokerage accounts vs. windows

    By Bird, June 5, 2012
    • 17 replies
    • 3.5k views
    • 
    • commishvp
    • October 24, 2012

15. Daily Valuation Vendors?

    By Guest, August 2, 2000
    • 16 replies
    • 16.9k views
    • 
    • Guest
    • December 6, 2012

16. Life Insurance Benficiary

    By Guest mcw, September 10, 2009
    • 16 replies
    • 2.9k views
    • 
    • J Simmons
    • September 12, 2009

17. ERISA 404(b) "indicia of ownership"

    By Guest jmc51, March 26, 2009
    • 16 replies
    • 17.7k views
    • 
    • Guest
    • September 2, 2009

18. Valuing a Limited partnership

    By K-t-F, April 19, 2012
    • 16 replies
    • 4.7k views
    • 
    • QDROphile
    • May 7, 2012

19. Expenses and Daily Trades

    By Guest Richard Scheer, January 5, 2000
    • 16 replies
    • 3k views
    • 
    • Guest
    • January 14, 2000

20. There is no market for an asset in the trust

    By Guest Iwonder, August 6, 2008
    • 16 replies
    • 6.2k views
    • 
    • Bantais
    • August 24

21. disclosure of market-timing restrictions

    By Peter Gulia, December 9, 2015   

    • market-timing; disclosure
    • 15 replies
    • 1.8k views
    • 
    • K2retire
    • December 11, 2015

22. Term Insurance in 401(k) Plan?

    By Dougsbpc, November 16, 2011
    • 14 replies
    • 3.4k views
    • 
    • Belgarath
    • January 5, 2012

23. Can a Plan's Trustee Force Sale of Asset in Segregated Account?

    By RestAssured, May 6, 2015   

    • force sale
    • segregated account
    • 14 replies
    • 2k views
    • 
    • RestAssured
    • May 11, 2015

24. no adviser wanted

    By gregburst, August 30, 2012
    • 13 replies
    • 2.2k views
    • 
    • david rigby
    • September 4, 2012

25. Prefunded Money Purchase Contribution

    By Guest Grumpy456, November 4, 2008
    • 13 replies
    • 2.1k views
    • 
    • Bird
    • November 6, 2008

26. How do you invest a retirement plan that does not provide participant-directed investment?

    By Peter Gulia, November 30, 2020   

    • investment policy
    • 13 replies
    • 1.4k views
    • 
    • Bird
    • January 27, 2021

27. Daily Val software search

    By AndrewZ, November 10, 2001
    • 13 replies
    • 4.1k views
    • 
    • Guest
    • November 21, 2001

28. Fee-based advisors

    By Bird, July 24, 2006
    • 12 replies
    • 3.7k views
    • 
    • Guest
    • November 11, 2006

29. With a brokerage window, does the employer get details on which stocks employees buy and sell?

    By Peter Gulia, June 26, 2023
    • 12 replies
    • 2.5k views
    • 
    • RatherBeGolfing
    • June 27, 2023

30. Viator policies in profit sharing plans

    By Guest MELODY LOVE, February 21, 2001
    • 12 replies
    • 2.3k views
    • 
    • Bill Berke
    • February 23, 2001

31. Unqualified Asset - Private Equity/Stock in 401k Plan

    By AllThingsForGood, June 18
    • 12 replies
    • 792 views
    • 
    • QDROphile
    • June 25

32. Universal Life Insurance in a Profit Sharing Plan

    By PJ2009, July 8, 2009
    • 12 replies
    • 4.9k views
    • 
    • Bill Presson
    • July 10, 2009

33. Investment Advice v Education

    By rlb64, September 17, 2004
    • 12 replies
    • 3.1k views
    • 
    • mbozek
    • September 27, 2004

34. Revenue Sharing of sub-TA fees

    By Guest Carol Ringwald, April 12, 1999
    • 11 replies
    • 16.4k views
    • 
    • Guest
    • December 1, 2000

35. Variable Annuity Disguised as 401(k)-Please Help

    By Guest IraSue, March 26, 2004
    • 11 replies
    • 3.7k views
    • 
    • mbozek
    • April 3, 2004

36. Life policy in a terminating plan

    By Lori H, July 22, 2010
    • 11 replies
    • 1.8k views
    • 
    • Lori H
    • September 2, 2010

37. Should company stock be an optional self-directed investment for parti

    By Dave Baker, July 14, 2000
    • 11 replies
    • 2.6k views
    • 
    • Guest
    • July 29, 2000

38. Purchase house in 401(k)

    By Cheryl S, November 1, 2018
    • 11 replies
    • 2.9k views
    • 
    • Larry Starr
    • January 2, 2019

39. Does a recordkeeper limit the percentage of a participant’s account that may be invested in a fund?

    By Peter Gulia, May 27
    • 11 replies
    • 866 views
    • 
    • Paul I
    • May 29

40. Financial advisor who wants to do good

    By Santo Gold, May 24, 2006
    • 11 replies
    • 2.5k views
    • 
    • Bird
    • May 25, 2006

41. Replacing a Insurance policy with a new policy

    By Lori H, May 7, 2008
    • 11 replies
    • 2.5k views
    • 
    • Lori H
    • May 12, 2008

42. qdia for self directed

    By TPApril, June 13, 2022
    • 11 replies
    • 1.8k views
    • 
    • TPApril
    • June 16, 2022

43. Finance your new Business through a 401(k)

    By Guest NeophiteTPA, February 16, 2007
    • 11 replies
    • 5k views
    • 
    • Guest
    • October 18, 2007

44. Self-Dealing and/or Exclusive Benefit Question

    By Medusa, July 12, 2006
    • 11 replies
    • 4.6k views
    • 
    • Kirk Maldonado
    • July 17, 2006

45. Can a participant pay her adviser’s fees from her plan account?

    By Peter Gulia, July 7, 2020   

    • fees; investment advice
    • 11 replies
    • 2.4k views
    • 
    • Peter Gulia
    • July 8, 2020

46. May a 401(k) plan refuse paper investment directions?

    By Peter Gulia, May 13, 2009
    • 10 replies
    • 2.3k views
    • 
    • J Simmons
    • May 14, 2009

47. Real Estate Investment in a Trustee-Directed 401k Plan

    By Santo Gold, June 3, 2024
    • 10 replies
    • 1.2k views
    • 
    • Basically
    • June 10, 2024

48. Mix and Match Personal Funds and Plan Benefits in an investment

    By Oh so SIMPLE, October 6, 2009
    • 10 replies
    • 1.9k views
    • 
    • Ron Snyder
    • October 12, 2009

49. Foreign Tax Withholding

    By A Shot in the Dark, January 16, 2009
    • 10 replies
    • 3.2k views
    • 
    • JJA
    • October 16, 2015

50. Is oil well income unrelated business income?

    By Flyboyjohn, September 9, 2014
    • 10 replies
    • 2.7k views
    • 
    • GMK
    • January 7, 2015