Despite Lawsuits, Schwab Slashes Sweep Yields 89% in Five Months - Ari Sonneberg, RIABiz, January 8, 2025 (PDF)
Sophisticated Legal Solutions Boutique-Style Service
Ari Sonneberg
No Rest for the Weary: Department of Justice asks Supreme Court to Issue a Stay of Nationwide Injunction Against Corporate Transparency Act (CTA)
For some attorneys, the last week and a half of 2024 was an opportunity for a bit of R & R before resuming customary work activities. Alas, that was not the case for attorneys at FinCEN and the...
Pencils Down: Corporate Transparency Act (CTA) Injunction Back in Effect
Our Law Alerts tend to be measured in tone, avoiding hyperbole. A court decision or IRS or DOL regulation may be unexpected or unanticipated, and we would characterize it as such, and then describe...
Fifth Circuit Court of Appeals Lifts Nationwide Preliminary Injunction Against Enforcement of Corporate Transparency Act Pending Ruling on the Merits
On December 23, 2024, the Fifth Circuit Court of Appeals (the “Court”), in response to an emergency appeal by the Department of the Treasury and its Financial Crimes Enforcement Network (“FinCEN”),...
TradePMR Sale to Robinhood Sends Ripples Through the RIA Industry
TradePMR Sale to Robinhood Sends Ripples Through the RIA Industry - Ari Sonneberg, RIABiz, November 19, 2024 (PDF)
Vivek Ramaswamy $30-Million Venture Launches Wealth RIA – Just Ahead of the Election
Vivek Ramaswamy $30-Million Venture Launches Wealth RIA - Just Ahead of the Election - Ari Sonneberg, RIAbiz, November, 4, 2024 (PDF)
RIAs May Face Ticking Time Bomb After SEC Slams a $1.9-Billion RIA for Neglecting ‘Orphan’ Accounts While Charging Fees
RIAs May Face Ticking Time Bomb After SEC Slams a $1.9-Billion RIA for Neglecting 'Orphan' Accounts While Charging Fees - Ari Sonneberg, RIABiz, October 26, 2024 (PDF)
Envestnet’s Five-Year Legal Slugfest with Fintech Over Alleged ‘Trojan Horse’ Theft of Killer App Cleared for Trial, Likely a Speedbump, Not a Wrench, for Bain Acquisition or Yodlee Sale
Envestnet's Five-Year Legal Slugfest with Fintech Over Alleged 'Trojan Horse' Theft of Killer App Cleared for Trial, Likely a Speedbump, Not a Wrench, for Bain Acquisition or Yodlee Sale - Ari...
Federal Judge Who Tossed Stephen Greco’s Sweeping RIA Lawsuit Grants Leave to Refile
Federal Judge Who Tossed Stephen Greco's Sweeping RIA Lawsuit Grants Leave to Refile - Ari Sonneberg, RIABiz, September 27, 2024 (PDF)
Secure 2.0 ‘Saver’s Match’ May Boost Retirement Readiness
Secure 2.0 ‘Saver’s Match’ May Boost Retirement Readiness - Ari Sonneberg, Rethinking65, September 18, 2024 (PDF)
Salim Ramji Takes Vanguard CEO Helm With Good Vibes But the Company’s 50 million ‘Owners’ May Expect More Privileges
Salim Ramji Takes Vanguard CEO Helm With Good Vibes But the Company's 50 million 'Owners' May Expect More Privileges - Ari Sonneberg, RIABiz, July 9, 2024 (PDF)
Providing Retirement Benefits Can Benefit Employers
Providing Retirement Benefits Can Benefit Employers - Ari Sonneberg, PLANSPONSOR, July 1, 2024 (PDF)
FDIC Bid to Strip BlackRock and Vanguard of Superpower ‘Has Legs’
FDIC Bid to Strip BlackRock and Vanguard of Superpower 'Has Legs' - Ari Sonneberg, RIABiz, April 24, 2023 (PDF)
Dewan and Beyond – The Creation, Codification, and Implementation of QDROs 2024
Dewan and Beyond – The Creation, Codification, and Implementation of QDROs 2024 – Regina Mandl, Barry Salkin, Ari Sonneberg and Marcia Wagner, panelists, Pennsylvania Bar Institute CLE webinar,...
IRS Announces 2024 Cost-of-Living Adjustments Affecting Retirement Plans
By Ari Sonneberg The Internal Revenue Service announced cost-of-living adjustments affecting certain dollar limitations for pension plans and other retirement-related limitations for 2024 in Notice...
What to Consider When Adding Retirement Income Options
What to Consider When Adding Retirement Income Options - Ari Sonneberg, PLANSPONSOR, November 1, 2023 (PDF)
Blacklisted ‘Woke’ Firms Like BlackRock and State Street Still Have a Lock on AUM in Oil States Like Oklahoma
Blacklisted 'Woke' Firms Like BlackRock and State Street Still Have a Lock on AUM in Oil States Like Oklahoma - Ari Sonnebrg, RIABiz, November 1, 2023 (PDF)
Vanguard Cleans Up Legal Matters, Settles Two Suits, Loses Third
Vanguard Cleans Up Legal Matters, Settles Two Suits, Loses Third - Ari Sonneberg, RIABiz, October 27, 2023 (PDF)
Goldman Sachs’ Sweeping Legal Effort to Crush ‘United Capital’ Advisor Exodus May Prove Largely Meaningless
Goldman Sachs' Sweeping Legal Effort to Crush 'United Capital' Advisor Exodus May Prove Largely Meaningless - Ari Sonneberg, RIABiz, October 9, 2023 (PDF)
The RIA Business Can Heave a Sigh of Relief as Grayscale Beats the SEC in Court
The RIA Business Can Heave a Sigh of Relief as Grayscale Beats the SEC in Court - Ari Sonneberg, RIABiz, August 29, 2023 (PDF)
Fidelity Investments is Suddenly Fending off a Fresh Wave of AI Suitors for its Vast Recordkeeping Data Trove
Fidelity Investments is Suddenly Fending off a Fresh Wave of AI Suitors for its Vast Recordkeeping Data Trove - Ari Sonneberg, RIABiz, July 28, 2023 (PDF)
Financial Aspects of Divorce in Massachusetts: Division of Retirement Assets in Divorce
Financial Aspects of Divorce in Massachusetts: Division of Retirement Assets in Divorce - Marcia Wagner and Ari Sonneberg, MCLE New England, 2nd Edition, 2023
Rudy Adolf Dodges Questions on Focus Financial Earnings Call
Rudy Adolf Dodges Questions on Focus Financial Earnings Call - Ari Sonneberg, RIABiz, February 21, 2023 (PDF)
Vanguard Cites Shunned Founder Jack Bogle to Deflect Criticism After Epic ESG Flip-Flop
Vanguard Cites Shunned Founder Jack Bogle to Deflect Criticism After Epic ESG Flip-Flop - Ari Sonneberg, RIZBiz, January 3, 2023 (PDF)
IRS Announces 2023 Cost-of-Living Adjustments Affecting Retirement Plans
By Ari Sonneberg The Internal Revenue Service announced cost-of-living adjustments affecting certain dollar limitations for pension plans and other retirement-related limitations for 2023 in Notice...
Making Lemonade of Legal Lemons, New Wave of ERISA Class Actions Accuse Fiduciaries of ‘Imprudently’ Using Low-Fee, High-Rated Funds, Like BlackRock TDFs
Making Lemonade of Legal Lemons, New Wave of ERISA Class Actions Accuse Fiduciaries of 'Imprudently' Using Low-Fee, High-Rated Funds, Like BlackRock TDFs - Ari Sonneberg, RIABiz, September 22, 2022...
RIA Wildfire Erupted on Twitter After Clarence Thomas Put Same-Sex Marriage on Conservative Hit List with ‘Roe v. Wade’
RIA wildfire erupted on Twitter after Clarence Thomas put same-sex marriage on conservative hit list with 'Roe v. Wade’ - Ari Sonneberg, RIABiz, August 25, 2022 (PDF)
Boom, Boom, Boom, Charles Schwab Corp. Just Spent $220 Million to Shuck Three Lawsuits
Boom, Boom, Boom, Charles Schwab Corp. Just Spent $220 Million to Shuck Three Lawsuits - Ari Sonneberg, RIABiz, July 18, 2022 (PDF)
Massachusetts and Vanguard Group Reach Interesting Settlement that Gives the $8-trillion Manager a Shot at Avoiding 49 copycat Suits
Massachusetts and Vanguard Group Reach Interesting Settlement that Gives the $8-trillion Manager a Shot at Avoiding 49 copycat Suits - Ari Sonneberg, RIZBiz, July 8, 2022 (PDF)
Grayscale Investments is Suing the SEC to Get its ETF Approved but Bitcoin’s Swoon Means ‘Public Sympathy’ May Swing in Favor of the Regulator
Grayscale Investments is Suing the SEC to Get its ETF Approved but Bitcoin's Swoon Means 'Public Sympathy' May Swing in Favor of the Regulator, a Rules Lawyer Says - RIABiz, July 1, 2022 (PDF)
Grayscale CEO’s Threatened Lawsuit Against the SEC, in Case it Rejects His Firm’s Spot-Bitcoin ETF Application
Grayscale CEO’s Threatened Lawsuit Against the SEC, in Case it Rejects His Firm’s Spot-Bitcoin ETF Application – Ari Sonneberg, RIABiz, April 1, 2022 (PDF)
Charles Schwab & Co. registers TD Ameritrade brokers to rep Schwab products and to retain clients who chose to convert to ‘Schwab’
Charles Schwab & Co. registers TD Ameritrade brokers to rep Schwab products and to retain clients who chose to convert to ‘Schwab’ – Ari Sonneberg, RIABiz, February 8, 2022 (PDF)