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Investment Representative Who Did Not Exercise Authority Over Failed Plan Investment Was Not ERISA Fiduciary
Wolters Kluwer Law & Business 
Mar. 25, 2014 "A registered investment advisor representative who recommended the investment of plan assets in a risky start-up venture that eventually failed was not subject to suit as a fiduciary under ERISA, according to [the U.S. Court of Appeals for the Fifth Circuit]. The registered representative did not actually exercise discretionary authority with respect to the transaction at issue, the court stressed." [Tiblier v. Dlabal, No. 13-50344, (5th Cir. Feb. 28, 2014)] MORE >> |
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