Articles & Presentations

Retirement Plans, The Wizard of Oz & You   401k Ethicist*

Fiduciary Handbook for Understanding and Selecting Target Date Funds

The Ethics of 401(k) Administration – 32nd Annual PEBA Forum

The Rube Goldberg Theory of 401k Fee Disclosure [Huffington Post]]

Why is being a Member of ASPPA similar to being a West Point Cadet? [Ethics CE]

401k Participants: Are you the Victim of Fiduciariness? [Huffington Post]

The Moral Hazard of Paltering & Puffery Part II, 401k Ethicist*

The Moral Hazard of Paltering & Puffery  Part I**, 401k Ethicist*

The Moral Hazard of Too Big to Jail  401k Ethicist*

2013 FI360 Conference – The Wizard of Oz, Retirement Plans & You

The Moral Hazard of UNinformed Consent**  401k Ethicist*

Choosing a 401k Plan Advisor [A six-part series for Paladin Registry]

2013 Tri-State SHRM – The Wizard of Oz, Retirement Plans & the SHRM Code of Ethics

Rule 408(b)(2): The New Fiduciary Paradox

Caveat Emptor for 401k Plan Sponsors

2011 FI360 – What is your Professional Code of Ethics and Do you have the Moral Courage to uphold it?

2011 NJSCPA Fiduciary Responsibilities and Risk

2010 AICPA Employee Benefits Conference – Fiduciary Responsibilities and Risk

Overcoming the challenges of 408(b)(2). [NOTE: this is a PowerPoint document.]

Are emotions sabotaging the retirement income security of 401k participants?

New Year’s Resolutions for 401k Plan Sponsors

* Reprinted from Journal of Compensation and Benefits.   Copyright © 2013 Thomson Reuters/West.  For more information about this publication please visit

** Required reading for the Certified Employee Benefits Specialist course taught at the Wharton Business School at the University of Pennsylvania. (See page 5, Topic 3)