UpFront PLANSPONSOR May – June 2025

A ‘Duty of Investment Performance’?

Reported by

Ed McCarthy

Art by Claudi Kessels

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Compliance | October 28th, 2026

Plaintiffs claim the firm received more than $14 million in commissions and fees tied to benefits offered to its employees.

Compliance | October 27th, 2026

The firm’s nearly $6.5 million in retirement plan assets have now been properly distributed to employees.

Compliance | October 23rd, 2026

Experts say the magnitude of the litigation may hinge on the money at stake.