Farmer & Betts, Inc.
Kentucky Trust Company
Pension Plan Specialists
RTD Financial Advisors
Retirement Industry Trust Association (RITA)
Nicholas Pension Consultants
Hochheiser Deutsch & Co, Inc.
Retirement Plan Consultants
Pension Rights Center
Plumbers Local Union No. 1 Benefit Funds
EPIC Retirement Plan Services
Loren D. Stark Company
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|Misuse of Participant Confidential Data|
The Wagner Law Group
Nov. 3, 2021
"There have ... been recent ... actions by the [SEC] against service providers who use confidential participant data to cross-sell their own products in the rollover context.... [T]he DOL has been very concerned with the practice of cross-selling in the rollover context as well, and it seems that the DOL is expressing the same concerns in its plan audits."
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